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Prof. J. Gasteiger, Research, Computer-Chemie-Centrum,
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Multisimplex Electronic Newsletter. 12/8/97, webmaster @
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Aspen Tech Aspen Custom Modeler, http://www.aspentech.
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Hogg, T. draft paper for sixth Forsight Conference on Molecu-
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University of New Mexico, Biology 576: Landscape Ecology &
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Stowers, M. A., Lesniewski, T. K., Manousiouthakis, V., Pol-
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A General Chemical Kinetics & Sensitivity Analysis Code for
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Plant Design and Retro-Design of Waste Minimization/
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tion/Pollution Prevention Technical Conference for Haz-
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1996.
Crittendezi and S. Kolaczkowski, Waste Minimisation Guide,
Institution of Chemical Engineers, London, 1994.
Waste minimisation: a route to profit and cleaner production.
An interim report of the Aire and Calder project. Centre
for Exploitation of Science and Technology, 1994.
R. A. Sheldon, Chem.Tech., 24, 38, 1994.
K. G. Malle, in Waste Minimisation: A Chemist’s Approach, K.
Martin and T. W. Bastock, Eds., RSC, Cambridge, 1994,
35.
K. Smith, Chem. Commun., 469, 1996.
M. Poliakoff and S. Howdle, Chem. Br., 31, 118, 1995.
Encyclopedia of Chemical Technology Kirk-Othmer, 4th ed., vol
13, p 1048. Wiley, New York, 1995.
A. Mittelman and D. Lin, Chem. Ind., 694, September 1995.
Chemistry of Waste Minimisation, J. H. Clark, Ed., Blackie
Academic, Oxford, 1995.
J. F. Hayes and M. B. Mitchell, Chem. Br., 29, 1037, 1993.
M. J. Braithwaite and C. L. Ketterman, Chem. Br., 29, 1042,
1993.
I. G. Laing, in Waste Minimisation: A Chemist’s Approach, K.
Martin and T. W. Bastock, Eds., RSC, Cambridge, 1994,
93.
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cals. Chemspec ’95, Essen.
Australia Centre for Cleaner Production, The Clean Advan-
tage, p 1. February 1996.
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K. Fischer and S. Hunig, J. Org. Chem., 52, 564, 1987.
Design Expert, distributed by QD Consulting near Cambridge.
© 2000 by CRC Press LLC
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Chang, C. T., Huang, J. R., Multiobjective Programming Ap-
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Friedler, F., Varga, J. B., Fan, L. T., Algorithmic Approach to
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Varga, J. B., Friedler, L. T., Risk Reduction Through Waste
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http://www.cpma.u-psud.fr/ccl/244.htm
http://www.ioc.ac.ru/chemistry/soft/kintecus.html
http://www.coma.u-psud.fr/ccl/243.html
Section 3.22
Stategic Waste Minimization Initiative.
UDRI Software, Version 2.0, 4/3/97.
Section 3.23
Compute Software-Chemical Engineering-SUPERPRO,
superset of BatchPro, EnviroPro and BioPro Designer,
www.chempute.com
Section 3.24
What is available from P2 by Design.
Design for Environment (DFE) for DOE Home Page, Pollution
Prevention by Design.
Section 3.25
CH2M Hill, The National Center for Clean Industrial and
Treatment Technologies (CenCITT), http://www.cpas.mtu.
edu/tools/tooo7.htm
Section 3.26
Webmaster@olisystems.com, 1997-1998.
Section 3.27
webmaster@olisystems.com, 1997-1998.
Section 3.28
Syngen Web Page, http://syngen2.chem.brandeis.edu/
syngen.html
Section 3.29
Sohn, J., Reklaitis. G. V., Okes, M. R., Annual Meeting,
AICHE, 1997.

Section 3.30
Life Cycle Analysis (LCA) and its role in Product and Process
Development, 2(2), 13, 1993, J. A. Isaacs, IJECDM Ab-
stract, J. P. Clark, Archive.
Section3.31
Computer Modeling of Environmental Systems, http://
home.istar.ca/~ece/model.html
Section 3.32
Hopper, J. R. Yaws, C. L., Lamar U., Funder Cantacts Dobbs,
R., Primary Funder, Gulf Coast Hazardous Substance
Research Center.
Section 3.33
Glen, R. C., Payne, A. W. R., A Genetic Aldorithm for the
Automated Generation of Molecules Within Constraints,
J. Computer-Aided Molecular Design, 9, 181-202, 1995.
Section 3.34
White, W. B., S. M. Johnson, and C. B. Dantzig: Chemical
Equilibrium in Complex Mixtures, J. Chem. Phys., 28,
751-755, 1958.
Section 4.1
Cramer, R. D., J. Am. Chem. Soc., 102:6, pages 1837 and
1843, 3/12/80.
Cramer, R. D., Quant.Struct.-Act. Relat. 2, 7-12, 1983.
Section 4.2
Bumble, S., Emerging Computer Simulation and Control of
Plant Design and Retro-Design of Waste Minimization/
Pollution Prevention in the Late Twentieth and Early
Twenty First Centuries in EPA Region III Waste Minimi-
zation/Pollution Prevention Technical Conference for
Hazardous Waste Generators, Philadelphia, PA, June 3-
5, 1996.
Section 4.3
Bumble, S., Emerging Computer Simulation and Control of
Plant Design and Retro-Design of Waste Minimization/
Pollution Prevention in the Late Twentieth and Early
Twenty First Centuries in EPA Region III Waste Minimi-
zation/Pollution Prevention Technical Conference for Haz-
ardous Waste Generators, Philadelphia, PA, June 3-5,
1996.
Section 4.4
EDF, Roe, D., Pease, W., Florini, K., Sibergeld, E., Summer,
1997, www.edf.org., EDF@edf.org
Section 4.5
Bumble, S., Emerging Computer Simulation and Control of
Plant Design and Retro-Design of Waste Minimization/
Pollution Prevention in the Late Twentieth and Early
Twenty First Centuries in EPA Region III Waste Minimi-
© 2000 by CRC Press LLC
zation/Pollution Prevention Technical Conference for Haz-
ardous Waste Generators, Philadelphia, PA, June 3-5,
1996.
Section 4.6
Hart, Terence, Peptide Therapeutics, 1998.
Section 4.7
Byrne, Miriam, Imperial College for Environmental Technol-
ogy, 1998.
Section 4.8
User’s Guide, Borland Quattro Pro for Windows, Version 5.0,
Houghton Mifflin, Scotts Valley, CA, 1991.
Section 4.9
http://http1.brunel.ac.uk:8080/depts/chem/ch2415/
refer.htm
Section 4.10
Ebeling, H. O., Lyddor, L. G., Covington, K. K., Proceedings of
the 77th GPA Annual Conference, Gas Association, Tulsa,
OK, 1998.
Section 4.11
Texaco Chemical Company Plans to Reduce HAP Emissions
Through Early Reduction Program By Vent Recovery
System, Envirosense, Case Study: # 170, Texaco Chemi-
cal Co., Port Neches, TX.
Section 4.12
Friedler, F., Fan, L. T., Design of Molecules With Desired
Properties by Combinatorial Analysis, 1997, Preprint.
Section 4.13
Friedler, F., Fan, L. T., Design of Molecules With Desired
Properties by Combinatorial Analysis, 1997, Preprint.
Section 4.14
Globus, A., Lawton, J., Wipke, T., Automatic Molecular De-
sign Using Evolutionary Techniques, draft paper for the
Sixth Foresight Conference on Molecular Nanotechnology,
final version submitted for publication in the special
Conference issue on Nanotechnology. http://science.nas.
nasa.gov/globus/home.html
Section 4.15
Friedler, F., Varga, J. B., Fan, L. T., Algorithmic Approach to
the Integration of Total Flowsheet Synthesis and Waste
Minimization, Pollution Prevention via Process and prod-
uct modifications, AICHE Symposium Series, 90(303),
86.
Section 4.16
Testmart Project to Promote Faster, Cheaper, More Humane
Lab Tests, Academic Environmental Experts Awarded
 Joint Grant by Vira I. Heinz Endowment, Feb. 24, 1999,
http://www.edf.org/pubs/NewsReleases/1998/Oct/
Section 4.29
b_cma.html
American Process, http://apiweb.com/pinchtech.htm

Section 4.17 Section 4.30

Overcash, M., Dept. Chem Eng., overcash@che.ncsu.edu
http://www.sfo.com/naer (volume 1, number 1).
Section 4.18
Cleaner Synthesis by Tim Lester, http://www.chemsoc.org/
gateway/chembyte/cib/lester.htm
Section 4.19
Ritter, E. R., THERM User’s Manual, Department of Chemical
Engineering and Environmental Science, NJIT, 1980.
Section 4.20
Thurston, D., Product and Process Design Tradeoffs for Pol-
lution Prevention, Pafific NW Pollution Prevention Re-
search Center, 1996.
Reichhardt, T., Environmental G. I. S.: The World in a Com-
puter., Environmental Sci. Tech., Aug., 1996.
Section 4.31
Reible, D. D., Fundamentals of Environmental Engineering,
Lewis Publishers, Boca Raton, FL, 1999.
Section 4.32
Mills, K., Griffith, C., Health: The Scorecard That Hit a Home
Run, EDF (www.edf.org), 1999.
Section 4.33
www.plg-ec.com/riskman.htm, PLG, Inc. Risk Managementand
Process Safety.

Section 4.21 Section 4.34

Environmental Simulation Programs (ESP), http:// Kletz, Trevor, Safer by Design, Chemistry in Britain, Jan.
www.olisystems.com/oliesp.htm 1999. 64 Twining Brook Rd., Cheadle Hulme, Cheadle,
Chesshire, U.K.

Section 4.22
Thurston, D., Product and Process Design Tradeoffs for Pol- Section 4.35
lution Prevention, Pacific NW Pollution Prevention Re- Thurston, D. L., Carnahan, J. V., Hazardous Waste, Research
search Center, 1996. and Information Center, 7/31/95.

Section 4.23 Section 5.1

Department of Energy Design for Environment (DfE) Publica- Fowler, R. H., Statistical Mechanics, Cambridge University
tions. Press, 1966.

Section 4.24 Section 5.2

The Toxic Substances Control Act, http://es.epa.gov/oeca/ Carslaw, N., Jacobs, P., Piling, M., Atmospheric Research
ore/tped/tscatp.html Group in the School of Chemistry at Leeds University,
U.K.

Section 4.26
Boyd, James, RFF 98-30. Section 5.3
Blurock, E. S., Reaction: Modeling Complex Reaction Mecha-
nisms, Methods of Computer Aided Synthesis, Johannes
Section 4.26 University, Research Institute for Symbolic Computa-
tion, 1995.
NRC’s Institute for Chemical Process and Environmental Tech-
nology (ICPET), Dr. David Minns, www.icpet.nrc.ca/
projects/simu.html Section 5.4
http://www.c-f-c.com/supportdocs/cl2recycle.htm
Section 4.27
Chemical Process Simulation for Waste Reduction, Section 5.5
pprc.pnl.gov/pprc/rpd/fedfund/epa/epastd/chemproc.
html
Hendrikson, J. B., Chem. Tech., Sept.98, (2819), 35-40, ACS,
Teaching Alternative Synthesis. The Syngen Program, in
Section 4.28 Green Chem: Designing Chem. For the Enviromental
FDAT.
SRI’s Consulting Process Economics Program, http://pro-
cess-economics.com

© 2000 by CRC Press LLC

Section 5.6
Anastas, P. T., Williamson, T. C., Am. Chem. Soc., 214-231,
Wash. D.C.
Section 5.7
Technology, The New York Times, Software Simulations Lead
to Better Assembly Lines, Claudia H. Deutsch, 1999.
Section 5.8
Rice, S., Gray, P., The Statistical Mechanics of Simple Liquids,
Interscience Publishers, New York, 1965.
Section 5.9
Rainville, E. D., Special Functions, The MacMillan Company,
New York, 1960.
Section 5.10
J. Hijmans and J. de Boer, Physica 21, 471, 485, 499, 1955.
S. Bumble and J. M. Honig, J. Chem Phys. 33, 424, 1960.
S. Bumble, Reducing Risk by Controlling the Environment in
Clean Production, K.B. Misra, Ed., Springer, New York,
1996.
E. O. Talbott, M. Arnowitt, N. Davis, K. P. McHugh, Cancer
Incidence in the Neville Island Area: 1990-1994, Data
from the Pennsylvania Cancer Registry, Graduate School
of Public Health. University of Pittsburgh, Pittsburgh, PA
and Clean Water Action, Pittsburgh, PA.
Kikuchi, R., Phys. Rev., 81, 988, 1951.
Magnussen, Ramussen & Fredenslund, Copyright, A. C. S.,
used by permission, 1981.
Bumble, S., Emerging Computer Simulation and Control of
Plant Design and RetroDesign of Waste Minimization/
Pollution Prevention in the Late Twentieth and Early
Twenty-First Centuries, Proceedings Manual, EPA, Re-
gion III, Waste Minimization/Pollution Prevention Tech-
nical Conference, Philadelphia, PA, June 3-5, 1996.
Kauffman, S. A., The Origins of Order, Oxford, 1993.
Lehninger, A. L., Biochemistry, Worth Publishers, New York,
1972.
Ling, G. N., A Physical Theory of the Living State: The Associa-
tion-Induction Hypothesis, Blaisdell Publishing Company,
New York, 1962.
Section 5.11
What Chemical Engineers Can Learn From Mother Nature,
CEP, AICHE, P. 67, 1998.
Section 5.12
Design Synthesis Using Adaptive Search Techniques and
Multicriteria Decision Analysis.
© 2000 by CRC Press LLC
Section 5.13
Feynman, R. P., Statistical Mechanics, A Set of Lectures, W.
A. Benjamin, Reading, MA.
Kikuchi, R., The Path Probability Method, Progress of Theo-
retical Physics, Supplement No. 35, 1966.
Section 5.14
Fowler, R. H., Statistical Mechanics, Cambridge University
Press, 1966.
Section 5.15
Risk Reduction Engineering Lab/P2 Research Branch (RREL/
PPRB), http://es.epa.gov/techinfo/research/cp11949.
html
Section 5.16
http://www.synthworks.com/, http://www.x-tekcorp.com/
index.htm, http://mikro.e-technik.uni-ulm.de/vhd/anl-
engl.vhd/htm/
End Notes
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Theoretic Approach to Process Synthesis: Polynomial
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Chem. Eng. 17, 929-942, 1993.
Friedler, F., Varga, J. B., Huang, Y. W., Fan, L. T., Decision
Mapping: A Tool for Consistent and Complete Decisions
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1995.
Friedler, F., Varga, J. B., Feher, E., Fan, L. T., Combinatori-
ally Accelerated Branch-and Bound Method for Solving
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of the Art in Global Optimization, C. A. Floudas and M.
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Exchanger Networks, Comput. Chem. Eng. 2, 1-7, 1978.
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Sargent, R. W. H. A Functional Approach to Process Synthesis
and its Application to Distillation Systems. A Report of
the Center for Process Systems Engineering, Imperial
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 COMPUTER MODELING FOR ENVIRONMENTAL MANAGEMENT SERIES

COMPUTER SIMULATED
PLANT DESIGN for WASTE
MINIMIZATION/POLLUTION
PREVENTION

© 2000 by CRC Press LLC

 COMPUTER MODELING FOR ENVIRONMENTAL MANAGEMENT SERIES

PUBLISHED TITLES
Computer Generated Physical Properties
Stan Bumble

Computer Simulated Plant Design for Waste

Minimization/Pollution Prevention
Stan Bumble

FORTHCOMING TITLES
Computer Modeling and Environmental Management
William C. Miller

© 2000 by CRC Press LLC

COMPUTER MODELING FOR ENVIRONMENTAL MANAGEMENT SERIES

COMPUTER SIMULATED
PLANT DESIGN for WASTE
MINIMIZATION/POLLUTION
PREVENTION
Stan Bumble, Ph.D.

LEWIS PUBLISHER S
Boca Raton London New York Washington, D.C.
 Library of Congress Cataloging-in-Publication Data

Bumble, Stan.
Computer simulated plant design for waste minimization/pollution prevention / Stan Bumble.
p. cm. -- (Computer modeling for environmental management series)
Includes bibliographical references and index.
ISBN 1-56670-352-2 (alk. paper)
1. Chemical plants--Design and construction--Computer simulation. 2. Chemical
plants--Environmental aspects--Computer simulation. 3. Waste minimization--Computer
simulation. 4. Pollution--Computer simulation. I. Title. II. Series.

TP155.5.B823 2000
660′.28′ 286—dc21 99-057318

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International Standard Book Number 1-56670-352-2
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Printed in the United States of America 1 2 3 4 5 6 7 8 9 0
Printed on acid-free paper

When I asked an EPA repository of information for
any references on the subject of this book, I was
given a very swift and professional reply: “There isn’t
any.” This was, of course, counter to my experience
of years working on this subject and collecting huge
numbers of papers and referrals that detailed
progress and enthusiasm for my attempts. A sum-
mary of these findings is in this book.
I think it true that the kind of person who will be
successful in finding results or creating results in
Computer Simulated Plant Design for Waste Minimi-
zation/Pollution Prevention is not the average kind of
scientist or engineer one finds today. Indeed, the
proper person for this work is a multidisciplined
computer scientist, chemical engineer, chemist,
mathematician, etc. There are not many people like
that today, particularly creative ones. However, you
will meet some in this book.
The book is divided into five parts and each part
has a number of sections. The title of the parts
describes the main theme of the part but not all of
the included matter.
The first part is entitled Pollution Prevention and
Waste Minimization. It begins with descriptions of
process flowsheets and block flow diagrams. It then
describes pollution prevention, cost, and energy. It
describes control of exhausts from processes or, in
other words, reduction of emissions. There is then a
very brief description of the design or simulation of
a plant so the reader can get the flavor of it before
pollution prevention is discussed more thoroughly.
Reaction systems and separation systems appropri-
ate for waste minimization are then introduced. Con-
tinuing in this manner, computer simulation as it
pertains to pollution prevention is introduced. The
Inorganic Chemical Industry Notebook Section from
EPA is then shown as an example. The important
introduction to models is introduced next and this is
systematized with process models and simulation.
Process information and waste minimization are tied
together. The very important cost factors are dis-
cussed with waste minimization and Department of
Energy (DOE) processes. A number of sections on
© 2000 by CRC Press LLC
Preface
pollution prevention then occur and a discussion
proceeds on tools for P2.
A discussion of the redesign of products and pro-
cesses follows. A very proper set of results for the
environment, health, and safety in the early design
phases of a process is presented. An interesting
article is summarized that correlates the size of
plants and the exposure to pollution. The work on
the motivation for pollution prevention among top
executives in the company is very educational. This
is also true of the article on why the reason for
pollution prevention has not been more favorably
received publicly. A description of a graduate
student’s work on a plantwide controllability and
flowsheet structure for complex continuous plants
is shown. A 3D Design, 3D chemical plant program
is described. A computer-aided flowsheet design and
analysis for nuclear fuel reprocessing is also de-
scribed.
Conceptual designs of “clean processes” are shown
as well as the development of tools to facilitate the
design of plants that generate as little pollution as
possible. Computer Simulated Plant Design for Waste
Minimization/Pollution Prevention and flowsheet
tools for spreadsheets are shown. Integrated synthe-
sis and analysis of chemical process designs using
heuristics in the context of pollution prevention are
studied. Also presented are model-based environ-
mental sensitivity analysis for designing a clean
process plant. Ways to reduce gas emissions in util-
ity plants and elsewhere are shown. Upsizing or
inputting the waste of one plant into another is
strongly urged. This is further discussed for zero
emissions where plants are clustered together.
Permix is a reactor design, from SRI, which helps
pollution prevention. Batch chromatography is a
technique that can help develop optimum processes.
There are P2 opportunities that can be identified
from the various sectors mentioned before. Excerpts
on waste minimization are included from the latest
Federal Register. The definitions of bioaccumulation,
persistence, and toxicity are discussed as they will
be used to spotlight the worst chemical compounds.
The ATSDR section concentrates on health. There is
a chapter on OSHA software. The idea of having
communities monitor toxic compounds is discussed
(EMPACT). The very fine work of the EDF (Environ-
mental Defense Fund) in matters of health and
Scorecard is reviewed. Screening for endocrine
disruptors is discussed. A paper on reducing risk for
man and animals is included. Risk is then discussed
as a “human science.” The IPPS (industrial pollution
projection system) is a way to compare pollution
country by country.
Part II begins with a sequential set of chapters that
prepares the reader for chapters on mathematical
methods considered or used in computer programs
for pollution prevention and waste minimization.
They are in order: Linear Programming, The Simplex
Model, Quadratic Programming, Dynamic Program-
ming, Combinatorial Optimization, Elements of Graph
Theory, Organisms and Graphs, Trees and Search-
ing, Network Algorithms, Extremal Programs, Trav-
eling Salesman Problem, Optimization Subject to
Diophantine Constraints, Integer Programming,
MINLP (Mixed Integer Nonlinear Programming), Clus-
tering Methods, Simulated Annealing, Tree Anneal-
ing, Global Optimization Methods, Genetic Program-
ming, Molecular Phylogenetic Studies, and Adaptive
Search Techniques.
It is to be noted that Organisms and Graphs is
included in Part II, Mathematical Methods, although
it is a little different than the other methods cited. It
refers to processes in living organisms that are to be
compared to processes or flowsheets in chemical
plants.
Advanced mathematical techniques are used in
RISC-Lenz work and also the work of Drs. Friedler
and Fan. Scheduling of processes for waste minimi-
zation is for batch and semicontinuous processes.
Multisimplex can optimize 15 controls and responses
at once. Extremal optimization provides high quality
solutions to hard optimization problems,. Petri nets
and Synprops compare two processes and show the
graph model and concurrent processing together.
Petri net-digraph models are for automating HAZOP
analyses of batch process plants. DuPont CRADA is
a description of neural network controllers for chemi-
cal process plants. KBDS is about design history to
support chemical plant design, and dependency-
directed backtracking helps when objects, assump-
tions, or external factors have changed previously in
a design. Interactive collaborative environments al-
low different people at far removed places to work on
the same drawings. The control kit for O-matrix is a
control system without the need for programming,
the clean process advisory system (CPAS) is a sys-
tem of software tools for design information on clean
techniques for pollution prevention to conceptual
© 2000 by CRC Press LLC
process and product designers when needed. Fi-
nally, nuclear applications are discussed. Also, it is
important to have a process for viewing of the envi-
ronmental impact at the beginning of the design
process. There are tools to accomplish this such as
OPPEE (Optimization for Pollution Prevention, and
Energy and Environment) as well as CPASTM. Fol-
lowing is a discussion of computers, as they are very
important in this work. The future will lead to better
computers for doing the work needed for pollution
prevention and waste minimization.
Part III is entitled Computer Programs for Pollu-
tion Prevention and/or Waste Minimization. It first
discusses such programs as HYSYS, ICPET, and
HYSIS. Then a discussion of Green Design describes
environmentally benign products. There is then a
study of chemicals and materials from renewable
resources. One of the software companies into simu-
lation software by the name of Simulation Sciences
is then discussed. Two federal agencies, NFS and
EPA, are interested in providing funds for deserving
applied research for environmentally benign meth-
ods in industrial processes, design, synthetic pro-
cesses, and products used in manufacturing pro-
cesses. BDK is then discussed, and is an integrated
batch development. An ingenious and very useful
program called Process Synthesis is then introduced.
It optimizes the structure of a process system, while
minimizing cost and maximizing profit and will be
discussed further later. Synphony is the commercial
name for the process synthesis program that is now
available. It determines all possible flowsheets from
all possible operating units and raw materials for a
given product and ranks these. The following pro-
grams are then discussed: Aspen, CAPD (Computer-
Aided Process Design), work at CMU, Silicon Graph-
ics/Cray Research, work by Floudas, etc. Work on
robust self-assembly using highly designable struc-
ture and self-organizing systems are then described.
The work of El-Hawagi and Spriggs on Mass Integra-
tion is then given prominence. The synthesis of
mass energy integration for waste minimization via
in-plant modification then follows naturally. A very
clever scheme for the whole picture of environmen-
tally acceptable reactions follows. Work concerning
pollution prevention by reactor network synthesis is
outlined. LSENS is the NASA program for chemical
kinetics. It was the first of its kind and DOE’s pro-
gram followed. Chemkin was developed at Sandia
and is used by many people. It was instrumental in
the application to NOx chemistry and has a huge
library of thermodynamic and kinetic data, but uses
the NASA format. There follows a discussion of what
Chemkin can do. Multiobjective Optimization is a
continuous optimizer and performs waste minimiza-
tion. Risk Reduction through Waste Minimizing Pro-
cess Synthesis follows. It combines process design
integration, risk reduction, waste minimization and
Chemkin. Kineticus is a program written by a gradu-
ate student at Drexel University. It can perform
similar operations to Chemkin. SWAMI (Strategic
Waste Minimization) from EPA enhances process
analysis techniques and identifies waste minimiza-
tion techniques. Super Pro is a program that designs
manufacturing processes with environmental con-
straints. P2-Edge software helps engineers and de-
signers incorporate pollution prevention into the
design stage. CWRT is a program for aqueous efflu-
ent stream pollution prevention design options. The
OLI program ESP (Environmental Simulation Pro-
gram) enhances the productivity of engineers and
scientists (it is a steady state program). Process
Flowsheeting and Control has multiple recycles and
control loops. Environmental Hazard Assessment
for Computer-Generated Alternative Syntheses is
the general Syngen program for generation of short-
est and least costly synthesis paths. The computer
generated wastewater minimum program in a dairy
plant is described. A LCA (Life Cycle Analysis) Pro-
gram is described. Minimization of free energy (for
chemical equilibrium) and free radicals are discussed.
A pollution prevention process modification using
on-line optimization is described. Genetic algorithms
for generation of molecules is outlined. Finally, cod-
ing theory, cellular optimization, Envirochemkin, and
the chemical equilibrium program are used together
as the best among alternatives.
Part IV is entitled Computer Programs for the Best
Raw Materials and Products of Clean Processes. The
first section describes how regression is used with
much data to predict physical properties. Later this
is extended to Risk Based Concentrations. The prop-
erties are predicted from chemical groups. This
method is used in a spreadsheet and is tied in with
an optimization scheme, and the whole program is
called SYNPROPS and used to replace toxic solvents
with benign solvents with the same physical proper-
ties. There is toxic ignorance for almost 75% of the
top-volume chemicals in use. However, SYNPROPS
(from groups) can yield MCL, tap water, ambient air,
and commercial/industrial/residential soil risk based
concentrations. There is then a study of drug design
followed by a discussion of a source of pollution:
aerosols. A program called Computer-Aided Molecu-
lar Design (CAMD) is discussed. An applied case is
described; Texaco Chemical Company plans to re-
duce HAP emissions through an early pressure re-
duction program by vent recovery system. The work
of Drs. Fan and Friedler is introduced with a de-
scription of the design of molecules with desired
properties by combinatorial analysis. Some of the
extensive mathematical background needed for this
© 2000 by CRC Press LLC
follows. There then follows another method which is
called Automatic Molecular Design Using Evolution-
ary Techniques. This uses genetic software tech-
niques to automatically design molecules under con-
trol of a fitness function within the realm of
nanotechnology. Algorithmic generation of feasible
partitions returns us to the method of Fan and
Friedler. Testsmart promotes faster, cheaper, and
more humane lab tests without cruelty to animals
and also uses SAR techniques to obtain toxicity
data. European Cleaner Technology Research,
Cleaner Manufacturing in the European Union in-
volving substitution, minimization, etc. is described
and Cleaner Synthesis is discussed. This finds an
alternate, cleaner synthesis rather than dealing with
after-effects. THERM is introduced. This is a very
useful program that derives thermodynamic func-
tions from groups, puts them in NASA format for use
in Chemkin and LSENS, and also obtains thermody-
namic functions for reactions. Design trade-offs for
pollution prevention are then discussed, as is the
shift of responsibility to industry with pollution prod-
uct defects. Programming waste minimization within
a process simulation program aims at eliminating
pollution at the source. The discussion leads to
product and process design tradeoffs for pollution
prevention. This entails integrating multiobjective
design optimization with statistical quality control
and lifecycle analysis. Incorporating pollution pre-
vention in the U.S. Department of Energy Design
Projects is next. This raises awareness and provides
specific examples of pollution prevention design
opportunities. A description of PMN (Pre Manufac-
turing Notice) within TSCA follows. There is then a
short article on why pollution prevention founders.
ICPET (Institute for Chemical Process and Environ-
mental Technology) is described as supplying inno-
vative computer modeling and numerical techniques.
The programs HYSYS, IVPET, and HYSIS are then
discussed. Cost effective optimization is highlighted.
Pinch technology as part of process integration and
the effective use of heat is described. The Geographic
Information System is shown as important to many
parts of environmental work. Chronic environmen-
tal effects are included in the Health chapter. The
EDF Scorecard, which tracks pollution and its causes
in many geographies has had large impact. Also,
HAZOP and process safety identifies hazards in a
plant and what causes it. Safer by Design is a study
about making plants safer by design. Design theory
and methodology includes three parts: product and
process design tradeoffs for pollution prevention,
pollution prevention and control, and integration of
environmental impacts into product design.
Part V is entitled Pathways to Prevention. It opens
with a similarity between the Grand Partition Func-
tion of Statistical Mechanics and the mass and en-
ergy balance of chemical engineering. Then part of
the data for mechanisms from the Department of
Chemistry from the University of Leeds is shown.
Blurock’s extensive Reaction program is then de-
scribed. R & D concerning catalytic reaction tech-
nology controlling the efficiency of energy and mate-
rial conversion processes under friendly and
environmental measures is shown. An article for
building the shortest synthesis route is included. A
description of how DuPont controls greenhouse
emissions is given (for at least one plant). Another
article describes how software simulations lead to
better assembly lines. A theoretical connection be-
tween equations of state and connected irreducible
integrals as well as the mathematics of generating
© 2000 by CRC Press LLC
functions is shown. An article on ORDKIN, a model
of order and kinetics for the chemical potential of
cancer cells is reproduced. Another article shows
what chemical engineers can learn from nature as to
isolation versus interaction in research. There is
also a description of design synthesis using adaptive
search techniques and multicriteria decision analy-
sis. The Path Probability method is shown with ap-
plication to environmental problems. The method of
steepest descents is shown. The Risk Reduction
Laboratory/ Pollution Prevention Branch Research
(RREL/PPRB) is discussed. The PPRB is a project
that develops and demonstrates cleaner production
technologies, cleaner products and innovative ap-
proaches to reducing the generation of pollutants in
all media.

Stan Bumble, Ph.D., has guided research, develop-
ment, and engineering at DuPont and Dow Corning
with computer programs that optimized the best
products and properties. He has used computer
programs for assisting the U.S. government with
© 2000 by CRC Press LLC
The Author
the development of their missile program and with
the recovery of disaster victims. He has helped (with
the assistance of computers) the U.S. Department of
Justice and the Environmental Protection Agency at
many hazardous sites such as Love Canal.
 Table of Contents

Part I. Pollution Prevention and Waste Minimization

1.1 Chemical Process Structures and Information Flow
1.2 Analysis Synthesis & Design of Chemical Processes
1.3 Strategy and Control of Exhausts
1.4 Chemical Process Simulation Guide
1.5 Integrated Design of Reaction and Separation Systems for Waste Minimization
1.6 A Review of Computer Process Simulation in Industrial Pollution Prevention
1.7 EPA Inorganic Chemical Industry Notebook Section V
1.8 Models
1.9 Process Simulation Seen as Pivotal in Corporate Information Flow
1.10 Model-Based Environmental Sensitivity Analysis for Designing a Clean Process Plant
1.11 Pollution Prevention in Design: Site Level Implementation Strategy For DOE
1.12 Pollution Prevention in Process Development and Design
1.13 Pollution Prevention
1.14 Pollution Prevention Research Strategy
1.15 Pollution Prevention Through Innovative Technologies and Process Design at
UCLA’s Center for Clean Technology
1.16 Assessment of Chemical Processes with Regard to Environmental, Health, and
Safety Aspects in Early Design Phases
1.17 Small Plants, Pollution and Poverty: New Evidence from Brazil and Mexico
1.18 When Pollution Meets the Bottom Line
1.19 Pollution Prevention as Corporate Entrepreneurship
1.20 Plantwide Controllability and Flowsheet Structure of Complex Continuous Process Plants
1.21 Development of COMPAS
1.22 Computer-Aided Design of Clean Processes
1.23 Computer-Aided Chemical Process Design for P2
1.24 LIMN-The Flowsheet Processor
1.25 Integrated Synthesis and Analysis of Chemical Process Designs Using Heuristics in
the Context of Pollution Prevention
1.26 Model-Based Environmental Sensitivity Analysis for Designing a Clean Process Plant
1.27 Achievement of Emission Limits Using Physical Insights and Mathematical Modeling
1.28 Fritjof Capra’s Foreword to Upsizing
1.29 ZERI Theory
1.30 SRI’s Novel Chemical Reactor - PERMIX
1.31 Process Simulation Widens the Appeal of Batch Chromatography
1.32 About Pollution Prevention
1.33 Federal Register/Vol. 62, No. 120/Monday, June 23, 1997/Notices/33868
1.34 EPA Environmental Fact Sheet, EPA Releases RCRA Waste Minimization PBT Chemical List
1.35 ATSDR
1.36 OSHA Software/Advisors
1.37 Environmental Monitoring for Public Access and Community Tracking
1.38 Health: The Scorecard That Hit a Home Run
1.39 Screening and Testing for Endocrine Disruptors
1.40 Reducing Risk
1.41 Risk: A Human Science
1.42 IPPS

© 2000 by CRC Press LLC

Part II. Mathematical Methods
2.1 Linear Programming
2.2 The Simplex Model
2.3 Quadratic Programming
2.4 Dynamic Programming
2.5 Combinatorial Optimization
2.6 Elements of Graph Theory
2.7 Organisms and Graphs
2.8 Trees and Searching
2.9 Network Algorithms
2.10 Extremal Problems
2.11 Traveling Salesman Problem (TSP)-Combinatorial Optimization
2.12 Optimization Subject to Diophantine Constraints
2.13 Integer Programming
2.14 MINLP
2.15 Clustering Methods
2.16 Simulated Annealing
2.17 Tree Annealing
2.18 Global Optimization Methods
2.19 Genetic Programming
2.20 Molecular Phylogeny Studies
2.21 Adaptive Search Techniques
2.22 Advanced Mathematical Techniques
2.23 Scheduling of Processes for Waste Minimization
2.24 Multisimplex
2.25 Extremal Optimization (EO)
2.26 Petri Nets and SYNPROPS
2.27 Petri Net-Diagraph Models for Automating HAZOP Analysis of Batch Process Plants
2.28 DuPont CRADA
2.29 KBDS-(Using Design History to Support Chemical Plant Design)
2.30 Dependency-Directed Backtracking
2.31 Best Practice: Interactive Collaborative Environments
2.32 The Control Kit for O-Matrix
2.33 The Clean Process Advisory System: Building Pollution Into Design
2.34 Nuclear Facility Design Considerations That Incorporate WM/P2 Lessons Learned
2.35 Pollution Prevention Process Simulator
2.36 Reckoning on Chemical Computers

Part III. Computer Programs for Pollution Prevention and/or Waste

Minimization
3.1 Pollution Prevention Using Chemical Process Simulation
3.2 Introduction to the Green Design
3.3 Chemicals and Materials from Renewable Resources
3.4 Simulation Sciences
3.5 EPA/NSF Partnership for Environmental Research
3.6 BDK-Integrated Batch Development
3.7 Process Synthesis
3.8 Synphony
3.9 Process Design and Simulations
3.10 Robust Self-Assembly Using Highly Designable Structures and Self-Organizing Systems
3.11 Self-Organizing Systems
3.12 Mass Integration
3.13 Synthesis of Mass Energy Integration Networks for Waste Minimization via
In-Plant Modification

© 2000 by CRC Press LLC

3.14 Process Desig
3.15 Pollution Prevention by Reactor Network Synthesis
3.16 LSENS
3.17 Chemkin
3.18 Computer Simulation, Modeling and Control of Environmental Quality
3.19 Multiobjective Optimization
3.20 Risk Reduction Through Waste Minimizing Process Synthesis
3.21 Kintecus
3.22 SWAMI
3.23 SuperPro Designer
3.24 P2-EDGE Software
3.25 CWRT Aqueous Stream Pollution Prevention Design Options Tool
3.26 OLI Environmental Simulation Program (ESP)
3.27 Process Flowsheeting and Control
3.28 Environmental Hazard Assessment for Computer-Generated Alternative Syntheses
3.29 Process Design for Environmentally and Economically Sustainable Dairy Plant
3.30 Life Cycle Analysis (LCA)
3.31 Computer Programs
3.32 Pollution Prevention by Process Modification Using On-Line Optimization
3.33 A Genetic Algorithm for the Automated Generation of Molecules Within Constraints
3.34 WMCAPS

Part IV. Computer Programs for the Best Raw Materials and Products of
Clean Processes
4.1 Cramer’s Data and the Birth of Synprops
4.2 Physical Properties form Groups
4.3 Examples of SYNPROPS Optimization and Substitution
4.4 Toxic Ignorance
4.5 Toxic Properties from Groups
4.6 Rapid Responses
4.7 Aerosols Exposed
4.8 The Optimizer Program
4.9 Computer Aided Molecular Design (CAMD): Designing Better Chemical Products
4.10 Reduce Emissions and Operating Costs with Appropriate Glycol Selection
4.11 Texaco Chemical Company Plans to Reduce HAP Emissions Through Early Reduction
Program by Vent Recovery System
4.12 Design of Molecules with Desired Properties by Combinatorial Analysis
4.13 Mathematical Background I
4.14 Automatic Molecular Design Using Evolutionary Techniques
4.15 Algorithmic Generation of Feasible Partitions
4.16 Testsmart Project to Promote Faster, Cheaper, More Humane Lab Tests
4.17 European Cleaner Technology Research
4.18 Cleaner Synthesis
4.19 THERM
4.20 Design Trade-Offs for Pollution Prevention
4.21 Programming Pollution Prevention and Waste Minimization Within a Process
Simulation Program
4.22 Product and Process Design Tradeoffs for Pollution Prevention
4.23 Incorporating Pollution Prevention into U.S. Department of Energy Design Projects
4.24 EPA Programs
4.25 Searching for the Profit in Pollution Prevention: Case Studies in the Corporate
Evaluation of Environmental Opportunities
4.26 Chemical Process Simulation, Design, and Economics
4.27 Pollution Prevention Using Process Simulation
4.28 Process Economics

© 2000 by CRC Press LLC

4.29 Pinch Technology
4.30 GIS
4.31 Health
4.32 Scorecard-Pollution Rankings
4.33 HAZOP and Process Safety
4.34 Safer by Design
4.35 Design Theory and Methodology

Part V. Pathways to Prevention

5.1 The Grand Partition Function
5.2 A Small Part of the Mechanisms from the Department of Chemistry of Leeds University
5.3 REACTION: Modeling Complex Reaction Mechanisms
5.4 Environmentally Friendly Catalytic Reaction Technology
5.5 Enabling Science
5.6 Greenhouse Emissions
5.7 Software Simulations Lead to Better Assembly Lines
5.8 Cumulants
5.9 Generating Functions
5.10 ORDKIN a Model of Order and Kinetics for the Chemical Potential of Cancer Cells
5.11 What Chemical Engineers Can Learn from Mother Nature
5.12 Design Synthesis Using Adaptive Search Techniques & Multi-Criteria Decision Analysis
5.13 The Path Probability Method
5.14 The Method of Steepest Descents
5.15 Risk Reduction Engineering Laboratory/ Pollution Prevention Branch Research
(RREL/PPBR)
5.16 The VHDL Process

Conclusions

End Notes

References

List of Figures
Figure 1 Toxicity vs. Log (Reference Concentration)
Figure 2 Parallel Control
Figure 3 Series Control
Figure 4 Feedback Control
Figure 5 A Simple Series Circuit
Figure 6 The Feeding Mechanism
Figure 7 Organisms and Graphs
Figure 8 P-graph of Canaan Geneology Made by Papek Program
Figure 9 Example and Matrix Representation of Petri Net
Figure 10 Petri Nets
Figure 11 Ratio of s in Two Transfer Functions
Figure 12 The Control Kit
Figure 13 The Bode Diagram
Figure 14 Conventional and P-graph Representations of a Reactor and a Distillation Column
Figure 15 Tree for Accelerated Branch-and-Bound Search for Optimal Process Structure
with Integrated in Plant Waste Treatment (Worst Case)
Figure 16 Optimally Synthesized Process Integrating In-Plant Treatment
Figure 17 Conventional and P-Graph Representations of a Separation Process
Figure 18 P-Graph Representation of a Simple Process
Figure 19 Representation of Separator: a) Conventional, b) Graph

© 2000 by CRC Press LLC

Figure 20 Graph Representation of the Operating Units of the Example
Figure 21 Maximal Structure of the Example
Figure 22 Three Possible Combinations of Operating Units Producing Material A-E
for the Example
Figure 23 P-Graph where A, B, C, D, E, and F are the Materials and 1, 2, and 3
are the Operating Units
Figure 24 P-Graph Representation of a Process Structure Involving Sharp Separation of
Mixture ABC into its Three Components
Figure 25 Feasible Process Structures for the Example
Figure 26 Enumeration Tree for the Basic Branch and Bound Algorithm Which
Generates 9991 Subproblems in the Worst Case
Figure 27 Enumeration Tree for the Accelerated Branch and Bound Algorithm
with Rule a(1) Which Generates 10 Subproblems in the Worst Case
Figure 28 Maximal Structure of Synthesis Problem (P3, R3, O3)
Figure 29 Maximal Structure of Synthesis Problem (P4, R4, O4)
Figure 30 Maximal Structure of the Synthesis Problem of Grossman (1985)
Figure 31 Maximal Structures of 3 Synthesis Problems
Figure 32 Maximal Structure of the Example for Producing Material A as the
Required Product and Producing Material B or C as the Potential Product
Figure 33 Solution-Structures of the Example: (a) Without Producing a Potential Product;
and (b) Producing Potential Product B in Addition to Required Product A
Figure 34 Maximal Structure of the PMM Production Process Without Integrated
In-Plant Waste Treatment
Figure 35 Maximal Structure of the PMM Production Process with Integrated In-Plant
Waste Treatment
Figure 36 Structure of the Optimally Synthesized Process Integrating In-Plant Waste
Treatment but Without Consideration of Risk
Figure 37 Maximal Graph for the Folpet Production with Waste Treatment as an Integral
Part of the Process
Figure 38 Flowchart for APSCOT (Automatic Process Synthesis with Combinatorial Technique)
Figure 39 Reaction File for a Refinery Study of Hydrocarbons Using Chemkin
Figure 40 Influence of Chemical Groups on Physical and Biological Properties
Figure 41 Structural Parameters and Structure to Property Parameter Used in SYNPROPS
Figure 42 Properties of Aqueous Solutions
Figure 43 SYNPROPS Spreadsheet of Hierarchical Model
Figure 44 SYNPROPS Spreadsheet of Linear Model
Figure 45 Synthesis and Table from Cleaner Synthesis
Figure 46 Thermo Estimations for Molecules in THERM
Figure 47 Table of Therm Values for Groups in Therm
Figure 48 NASA Format for Thermodynamic Value Used in Chemkin
Figure 49 Iteration History for a Run in SYNPROPS
Figure 50 SYNGEN
Figure 51 Building a Synthesis for an Estrone Skeleton
Figure 52 Any Carbon in a Structure Can Have Four General Kinds of Bonds
Figure 53 SYNGEN Synthesis of Cortical Steroid
Figure 54 Pericyclic Reaction to Join Simple Starting Materials for Quick Assembly
of Morphinan Skeleton
Figure 55 Sample SYNGEN Output Screen from Another Bondset
Figure 56 Second Sample SYNGEN Output Screen
Figure 57 The Triangular Lattice
Figure 58 Essential Overlap Figures
Figure 59 Effect of Considering Larger Basic Figures
Figure 60 The Rhombus Approximation
Figure 61 The Successive Filling of Rhombus Sites
Figure 62 Distribution Numbers for a Plane Triangular Lattice
Figure 63 Order and Complexity

© 2000 by CRC Press LLC

Figure 64 Order-Disorder, c=2.5
Figure 65 Order-Disorder, c=3
Figure 66 p/p0 for Rhombus
Figure 67 u/kT vs. Occupancy
Figure 68 Activity vs. Theta
Figure 69 F/kT: Bond Figure
Figure 70 Probability vs. Theta, c = 2.77
Figure 71 Probability vs. Theta, c = 3
Figure 72 d vs. Theta
Figure 73 d for Rhombus
Figure 74 Metastasis/Rhombus
Figure 75 A Fault Tree Network
Figure 76 Selected Nonlinear Programming Methods
Figure 77 Trade-off Between Capital and Operating Cost for a Distillation Column
Figure 78 Structure of Process Simulators
Figure 79 Acetone-Formamide and Chloroform-Methanol Equilibrium Diagrams
Showing Non-Ideal Behavior
Figure 80 Tray Malfunctions as a Function of Loading
Figure 81 McCabe-Thiele for (a) Minimum Stages and (b) Minimum Reflux
Figure 82 Algorithm for Establishing Distillation Column Pressure and Type Condenser
Figure 83 P-Graph of the Process Manufacturing Required Product H and Also Yielding Potential
Product G and Disposable Material D From Raw Materials A, B, and C
Figure 84 Enumeration Tree for the Conventional Branch-and-Bound Algorithm
Figure 85 Maximal Structure of Example Generated by Algorithm MSG
Figure 86 Maximal Structure of Example
Figure 87 Solution-Structure of Example
Figure 88 Operating Units of Example
Figure 89 Structure of Synphony
Figure 90 Cancer Probability or u/kT
Figure 91 Cancer Ordkin-Function
Figure 92 Order vs. Age for Attractive Forces
Figure 93 Order vs. Age
Figure 94 Regression of Cancers

© 2000 by CRC Press LLC


It appears as if the successful work to determine
analytically global solutions for pollution prevention
and waste minimization, while simultaneously en-
gaged in plant design or simulation, has begun.
Here we are not concerned with heuristic methods
but in designs that are necessary and sufficient.
This requires a new kind of engineer; one that is
very adept in three subjects; chemical engineering,
computer science, and mathematics. It requires yet
another prerequisite: the engineer must be very cre-
ative.
There are not many engineers of this caliber today,
but it is hoped that with proper training there will be
more such engineers in the future.
It is to be emphasized that the mathematics re-
quired is not the same as that taught today but
includes “less conventional” subjects or aspects of
mathematics, such as discrete mathematics, etc.
This book has introduced many topics but has not
gone into each of them very deeply. It was felt more
important to expose the reader to more of the matter
lightly so that his or her preferences would gel. This
is true of the first book from this author as well:
Computer Generated Physical Properties.
The book is divided into five sections. The first is
called Pollution Prevention and Waste Minimization
and it serves as an introduction. It reviews both
computer process simulation as well as computer
designed pollution prevention and waste minimiza-
tion. It discusses the meaning and utilization of
these methods at government agencies, industrial
corporations, research centers, and countries of the
world. It introduces the terminology “Clean Technol-
ogy.” It examines the effect of such methods on “the
bottom line.” It examines the effect of upsizing, novel
chemical reactors, OHSA regulations, and risk on
the design of clean technology, rather than the de-
sign of “dirty” technology with clean-up at a later
time.
The second section entitled Mathematical Meth-
ods reviews many of the methods available to achieve
an optimum using a computer. Such knowledge may
be necessary to optimize cost, optimize yield, etc., in
a chemical process while at the same time minimiz-
© 2000 by CRC Press LLC
Conclusions
ing waste production. Some ideas are also intro-
duced that can achieve or help to achieve the results
such as Petri Nets, KBDS, Dependency-Directed
Backtracking, and the Control Kit for O-Matrix. There
is even a chapter on the construction of new types
of computers.
The third section is called Computer Programs for
Pollution Prevention and Waste Minimization. This
actually considers computer programs of consider-
able assistance to computer simulations and models
of pollution prevention and waste minimization. They
include: Process Synthesis (Synphony), Mass Inte-
gration, LSENS, Chemkin, Multiobjective Optimiza-
tion, Kintecus, the Simulation Science program, etc.
Specialized programs such as BDK-Integrated Batch
Development, Super Pro Designer, P2-Edge Soft-
ware, CWRT Aqueous Stream Pollution Prevention
Design Options Tool, and OLI Environmental Simu-
lation Program (ESP) are also discussed. The con-
cepts of Green Design and chemicals and materials
from renewable resources are also examined.
The fourth section is Computer Programs for the
Best Raw Materials and Products of Clean Processes.
It shows the invaluable contributions of Cramer’s
papers to the SYNPROPS method of designing mol-
ecules with the most desirable physical and environ-
mental properties available. It also describes Friedler
et al.’s method for the design of molecules with
desired properties by combinatorial analysis. It also
examines the program THERM for its important
contribution of thermodynamic functions to pro-
grams of Section three. It discusses the Pinch Tech-
nology, economics, Geographical Information Sys-
tems, health, HAZOP and other features that combine
with the computer-assisted simulations.
The fifth section is called Pathways to Prevention.
It has some theoretical considerations for the rest of
the book. Examples include the Grand Partition
Function, Cumulants, Generating Functions, the
Path Probability Method, and the Method of Steepest
Descent. It also combines Order and Kinetics to
obtain the chemical potentials of cancer cells. It also
studies the mechanisms and chemical reactions that
play a part in pollution and pollution prevention.

My thanks to Dr. L. T. Fan for sending me three
items. One is the paper by R. W. H Sargent, “A
Functional Approach to Process Synthesis and its
Application to Distillation Systems”, Computers Chem.
Eng., 22(1-2), 31-45, 1998. In it he shows that
Douglas’s hierarchical approach to process design,
with successive refinement of models as required to
resolve choices, can be embedded in a rigorous im-
plicit enumeration procedure for finding the optimal
design, within the accuracy implied by the final
model. This is an advantage because the final design
is verified by use of models as detailed and accurate
as desired, while limiting computational effort by
use of simpler models during development of the
design. He also uses the representation of a process
as a state-task network which contains a connected
path from each feedstock to some product and con-
versely from each product to at least one feed; more-
over each intermediate state and task must be on at
least one such path. We can then devise an algo-
rithm which generates all feasible state-task-net-
works. These can then be evaluated with an implicit
enumeration procedure, at the same time refining
models as required to resolve the choices.
Dr. Fan also sent me the latest flowsheet for the
structure of SYNPHONY. It is shown as Figure 83.
He also brought to my attention the article “Unique
Features of the Method for Process Synthesis Devel-
oped by F. Friedler, L.T. Fan, and Associates”, which
was discussed earlier.
Figure 61 shows paths followed in going from one
occupied rhombus figure to another. It turns out
that a direct product expression
Q = (x)g-h(x’)h(y)r(z)t(y’)s.
Here x and x’ are different sites on a geometrical
figure and y, y’, and z are interactions between
different bodies on these sites. The exponents g-h, h,
r, t, and s are the counts of the number of such sites
and interactions that there are. Now I will multiply
the above equation by (u)w(v)t. Here u and v are the
reactor and the separator, etc. W and t are the
© 2000 by CRC Press LLC
End Notes
number of reactors and separators, etc. present. It
remains to find the expressions for (A): x, x’, y, y’, u,
and v and also the values of the exponents (B): g-h,
h, r, t, s, w, and z. This is done by the methods of
Bumble and Honig and Hijmans and DeBoer for (A)
by setting up 3 sets of equations: Equilibrium Equa-
tions, Consistency Equations, and Normalizing Equa-
tions from Statistical Mechanics. The valisues for the
set B is then found by inserting the problem into
SYPROPS and using the Optimization routine for Q
with proper constraints. When done there will be an
optimized chemical flowsheet.
Another way to proceed involves the Path Integral
M = ∫ba exp(i/h) S[b,a] Dx(t)
and the entropy can be given analytically
S{pis(n)}=-N∑m=an yn(m)∑isLis(m)pis(m)lnpis(m)
Also other techniques viewed were the random
walk method, order -disorder methods, and the
Wiener method.
Consider a flexible chain of fixed length constrained
to lie on a square lattice. If one end is fixed at the
origin, how many configurations of the chain will
give the other end x coordinate c?
At each point n the chain may follow any of 4
paths. If it follows plus or minus y it contributes no
new value to the x coordinate. However, plus or
minus x paths will contribute plus or minus 1 to the
x coordinate, so the generating function is
____________
G(L, x)=(1/z+2+z)L =(1+2z+z2)L/zL =(1+z)2L/zL
By the binomial theorem the coefficients can be
seen to be
(2L)!/(L-D)!(L+D) where D = pL
Then g(L,x) = (2L)!/((1-p)L)!((1-p)L)!
And utilizing N! = (N/e)N (2pN)1/2, we find Expanding ln(1+p) and ln(1-p) and neglecting higher
terms we obtain
g(L, N) = 4L/( pL)1/2(1-p2 ) 1/2(1-p)1-p(1+p)1+p
g(L,x) = 4Lexp(-x2/L)/(pL)1/2
lng(L, x) = L[ln4-(1-p)ln(1-p)-(1+p)ln(1+p)]

© 2000 by CRC Press LLC

FIGURE 1 Toxicity vs. log (reference concentration).

FIGURE 2 Parallel control.

FIGURE 3 Series control.

FIGURE 4 Feedback control. FIGURE 6 The Feeding Mechanism

FIGURE 5 A simple series circuit.

© 2000 by CRC Press LLC

 Te
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FIGURE 8 P-graph of Canaan geneology made by Papek
FIGURE 7 Organisms and graphs. program.

FIGURE 9 Example and matrix representation of Petri net. FIGURE 10 Petri nets.

© 2000 by CRC Press LLC

 100(s + 1)(s + 2)
H (s) =
s(s + 0.3)(s + 0.7 − j 2)(s + 0.7 + j 2)(s + 15)
100(s + 1)(s + 2)
=
s(s + 0.3)(s 2 + 1.4 s + 4.49)(s + 15)

(100 s 2 + 300 s + 200)

=
s(s 4 + 16.7s3 + 30.41s 2 + 74.997s + 20.205)

9.8985(s + 1) + 1
2
2 
H (s) =
 2
s   s
s + 1 
s 
+ 0.6607 + 1
s
+1
 0.3   2.119   2.119   15 

9.8985(0.5s 2 + 1.5s + 1)
=
s(0.0496s + 0.8265s3 + 1.5051s 2 + 3.7118s + 1)
4

FIGURE 11 Ratio of s in two transfer functions. FIGURE 12 The Control Kit.

FIGURE 14 Conventional and P-graph representations of a

FIGURE 13 The bode diagram. reactor and a distillation column.

© 2000 by CRC Press LLC

FIGURE 15 Tree for accelerated branch-and-bound search
for optimal process structure with integrated in plant waste
treatment (worst case).

FIGURE 16 Optimally synthesized process integrating in-

plant treatment.

FIGURE 17 Conventional and P-graph representations of a FIGURE 18 P-graph representation of a simple process.
separation process.

© 2000 by CRC Press LLC

FIGURE 19 Representation of Separator: a) conventional, b) graph

FIGURE 20 Graph representation of the operating units of the example.

© 2000 by CRC Press LLC

FIGURE 21 Maximal structure of the example.

FIGURE 22 Three possible combinations of operating units

producing material A-E for the example.

FIGURE 23 P-Graph where A, B, C, D, E, and F are the FIGURE 24 P-graph representation of a process structure
materials and 1, 2, and 3 are the operating units. involving sharp separation of mixture ABC into its three
components.

© 2000 by CRC Press LLC

FIGURE 25 Feasible process structures for the example.

FIGURE 26 Enumeration tree for the basic branch and FIGURE 27 Enumeration tree for the accelerated branch
bound algorithm which generates 9991 subproblems in the and bound algorithm with rule a(1) which generates 10 sub-
worst case. problems in the worst case.

© 2000 by CRC Press LLC

FIGURE 28 Maximal structure of synthesis problem (P3, R3,
O 3)
FIGURE 29 Maximal structure of synthesis problem (P4, R4,
O4).

FIGURE 30 Maximal structure of the synthesis problem of

Grossman (1985).

© 2000 by CRC Press LLC

FIGURE 31 Maximal structures of 3 synthesis problems.

© 2000 by CRC Press LLC

FIGURE 32 Maximal structure of the example for producing
material A as the required product and producing material B
or C as the potential product.
FIGURE 33 Solution-structures of the example: (a) without
producing a potential product; and (b) producing potential
product B in addition to required product A.
CS2 CI2 I2 CS2CI2 0.1 I2 CS2 CI2 w CS2 CI2 w
CS2 CI2 I2 CS2 CI2 0.1 S CS2 CI2 w CS2 CI2 w

1 2 3 4
1 2 3 4

5 6 7 8
5 6 27 7 8

9 10 11 9 10 11 12 13

16 18 14 15 16 17 18 19 20

SW SW HCI H2SO4

21 22 21 22 23

ww ww

24 24 25 26

PMM PMM SW SW

FIGURE 34 Maximal structure of the PMM production pro- FIGURE 35 Maximal structure of the PMM production pro-
cess without integrated in-plant waste treatment. cess with integrated in-plant waste treatment.

© 2000 by CRC Press LLC

FIGURE 36 Structure of the optimally synthesized process
integrating in-plant waste treatment but without consider-
ation of risk. FIGURE 37 Maximal graph for the Folpet production with
waste treatment as an integral part of the process.

FIGURE 38 Flowchart for APSCOT (Automatic Pro-

cess Synthesis with Combinatorial Technique).

© 2000 by CRC Press LLC

FIGURE 39 Reaction file for a refinery study of hydrocarbons using Chemkin.

© 2000 by CRC Press LLC

FIGURE 39 (continued) Reaction file for a refinery study of hydrocarbons using Chemkin.

© 2000 by CRC Press LLC

FIGURE 40 Influence of chemical groups on physical and biological properties.

© 2000 by CRC Press LLC

FIGURE 40 (continued) Influence of chemical groups on physical and biological properties.

© 2000 by CRC Press LLC

FIGURE 41 Structural parameters and structure to property parameter used in SYNPROPS.

FIGURE 42 Properties of aqueous solutions.

© 2000 by CRC Press LLC

FIGURE 43 SYNPROPS spreadsheet of hierarchical model.

© 2000 by CRC Press LLC

FIGURE 44 SYNPROPS spreadsheet of linear model.

© 2000 by CRC Press LLC

 BuMe2SiO HO
H H H H
R R

N OR OR
O O
CO2R CO2R
Silylester (1) Hydroxyester (2)

R H H

O N
O
CO2R
Lactone (3)

FIGURE 45 Synthesis and table from cleaner synthesis.

FIGURE 46 Thermo estimations for molecules in THERM.

© 2000 by CRC Press LLC

FIGURE 47 Table of Therm values for groups in THERM.

© 2000 by CRC Press LLC

FIGURE 48 NASA format for thermodynamic value used in Chemkin.

© 2000 by CRC Press LLC

FIGURE 49 Iteration history for a Run in SYNPROPS.

© 2000 by CRC Press LLC

SYNGEN: Automatic Synthesis Design System

• SYNGEN is a unique program for automatic generation of the shortest, most economic organic synthesis
routes for a given target compound.
• SYNGEN is based on Professor Hendrickson’s Half-Reaction Theory. It does not require a reaction
database.
• SYNGEN is easy to use. After input of a target structure, the program automatically generates all the
shortest routes. Then, if you press

Step button, synthesis routes are ordered by reaction steps, with the shortest one first.

You can then press

Next button to see the next shortest route, or press

Prev button to see the previous route,

or simply type in

10 in the Goto: space if you want to see the 10th route.

If you press

Cost button, synthesis routes are ordered by overall cost, witht the cheapest one first.

If you want to see those routes belonging to bond set 4, for example, you just need to type in 4 in the
Bondset: space.

FIGURE 50 SYNGEN.

Z
O
Z
O
Z
O N
A1 - 2F
O
Z
Z
O N N+
O HN

A3 - 31
P1 - 2F

Z Z
O O

O R1 - 12 O
N+ N

X HN
HN

FIGURE 51 Building a synthesis for an estrone skeleton.

© 2000 by CRC Press LLC

 COOR COOR COOR

ArSO2CN
∆/MeOTf N+ N
O O
(2)
SO2Ar
(2)
COOR
N
COOR
N R

FIGURE 52 Any carbon in a structure can have four general kinds of bonds.

O O RO
RO RO
O
+

E E

O O O

O O

O O
SOCF3 SO2CF3

FIGURE 53 SYNGEN synthesis of cortical steroid.

Pft
O Pft
S OcN
NC O S
O
+ NC O
OcN TFAA

OH

X
X

FIGURE 54 Pericyclic reaction to join simple starting materials for quick assembly of morphinan skeleton.

O O O
CO2 F1.2E
EO O
O O

P1.2F
E1.2E A1.12 P3.31 B2.12
O O

O O CO2
O O

FIGURE 55 Sample SYNGEN output screen from another Figure 56 Second sample SYNGEN output screen.
bondset.

© 2000 by CRC Press LLC

FIGURE 57 The triangular lattice. FIGURE 58 Essential overlap figures.

FIGURE 59 Effect of considering larger basic figures. FIGURE 60 The rhombus approximation.

FIGURE 61 The successive filling of rhombus sites.

© 2000 by CRC Press LLC

FIGURE 62 Distribution numbers for a plane triangular lattice.

FIGURE 63 Order and complexity. FIGURE 64 Order-disorder, c = 2.5.

© 2000 by CRC Press LLC

FIGURE 65 Order-disorder, c = 3. FIGURE 66 p/p0 for rhombus.

FIGURE 67 u/kT vs. occupancy. FIGURE 68 Activity vs. theta.

FIGURE 69 F/kT: Bond figure. FIGURE 70 Probability vs. theta, c = 2.77.

© 2000 by CRC Press LLC

FIGURE 71 Probability vs. theta, c = 3. FIGURE 72 d vs. theta.

FIGURE 73 d for rhombus. FIGURE 74 Metastasis/rhombus.

FIGURE 75 A fault tree network.

© 2000 by CRC Press LLC

FIGURE 76 Selected nonlinear programming methods.

FIGURE 77 Trade-off between capital and operating cost for a distillation column.

© 2000 by CRC Press LLC

FIGURE 78 Structure of process simulators.

FIGURE 80 Tray malfunctions as a function of loading.

FIGURE 79 Acetone-Formamide and chloroform-methanol FIGURE 81 McCabe-Thiele for (a) minimum stages and (b)
equilibrium diagrams showing non-ideal behavior. minimum reflux.

© 2000 by CRC Press LLC

FIGURE 82 Algorithm for establishing distillation column pressure and type condenser.

FIGURE 83 P-Graph of the process manufacturing required FIGURE 84 Enumeration tree for the conventional branch-
product H and also yielding potential product G and dispos- and-bound algorithm.
able material D from raw materials A, B, and C.

FIGURE 85 Maximal structure of example generated by

algorithm MSG.

© 2000 by CRC Press LLC

FIGURE 86 Maximal structure of example. No. Type Inputs Outputs
1. Feeder A1 A5
2. Reactor A2, A3, A4 A9
3. Reactor A3, A4, A6, A11 A10
4. Reactor A3, A4, A5 A12
5. Reactor A3, A4, A5 A13
6. Reactor A7, A8, A14 A16
7. Reactor A8, A14, A18 A16
8. Separator A9, A11 A21,A22,A24
9. Separator A10, A11 A22,A24,A37
10. Separator A12 A25, A26
11. Separator A13 A25, A31
12. Dissolver A15, A16 A32
13. Reactor A14,A17,A18,A19,A20 A33
14. Reactor A6, A21 A35
15. Washer A22, A23 A48
16. Washer A5, A24 A36
17. Separator A5, A11, A25 A37,A38,A39
18. Separator A11, A26 A40, A42
19. Reactor A14,A27,A28,A29,A30 A41
20. Separator A11, A31 A40, A42
21. Centrifuge A32 A44, A45
22. Washer A33, A34 A46
23. Separator A36 A14, A48
24. Separator A38 A14, A48
25. Filter A41 A50, A51
26. Washer A43, A44 A53
27. Filter A46 A55, A56
28. Separator A47, A48 A5, A57
29. Separator A48, A49 A5, A58
30. Separator A50 A59, A60
31. Dryer A51, A54 A61
32. Dyer A52, A53 A61
33. Dryer A54, A55 A61
34. Distillation A59 A62, A63
35. Separator A60 A64, A65

FIGURE 87 Solution-structure of example. FIGURE 88 Operating units of example.

© 2000 by CRC Press LLC

FIGURE 89 Structure of SYNPHONY.

FIGURE 90 Cancer probability or u/kT.

FIGURE 91 Cancer Ordkin-Function.

© 2000 by CRC Press LLC

FIGURE 92 Order vs. age for attractive forces.

FIGURE 93 Order vs. age.

FIGURE 94 Regression of cancers.

© 2000 by CRC Press LLC

 Part I. Pollution Prevention and Waste Minimization
1.1 Chemical Process Structures
and Information Flow
Systematic study of structural problems is of rela-
tively recent origin in chemical engineering. One of
the first areas to receive such attention is process
flowsheet calculations. These calculations typically
occur in process design.
Process design may be perceived as a series of
distinct tasks. Starting with a market need or a
business opportunity, a number of process alterna-
tives are created or synthesized. The task of creating
these alternatives is sometimes referred to as pro-
cess synthesis. The outcome of process synthesis is
usually expressed in terms of process flowsheets.
The best solution is arrived at by systematically
evaluating each of these alternatives. This quantita-
tive evaluation usually begins with the material and
energy balances, followed by equipment size and
costing and culminates in an analysis of the eco-
nomic merits of the process. As the initial choice of
the process is not expected to be optimal, it is usu-
ally possible to improve the process by a different
choice of process flows and conditions. This is called
parameter optimization. Some of these decided vari-
ables may be continuous, others may be discrete
such as stages or size of equipment.
A process can be improved by a different choice of
processing units and interconnections. The task of
identifying such improvements is termed structural
optimization. While some structural improvements
are but minor modifications of the same process,
others give rise to different processes.
The above description is of course a gross simpli-
fication of the reality. In practice, these tasks are not
always neatly partitioned, nor are they carried out in
sequence, nor to completion. This evaluation or op-
timization may be truncated once the outcome is
apparent, or its purpose is fulfilled. However, it is an
iterative nature of process design activities and the
central role of process flowsheet calculations and
the heart of process evaluation and optimization.
Because the calculations are so repetitive, efficiency,
reliability, and accuracy of the solution procedure
deserve special attention.
© 2000 by CRC Press LLC
Though the first computer calculations to process
design were limited to design calculations involving
a single unit such as a heat exchanger or a flash
separator, it did not take very long before chemical
engineers recognized the far greater potential of a
process flowsheet simulator. In the years since the
first such program was reported, process flowsheeting
programs have become the accepted workhorse of
many a process design organization. One feature of
such a program is its capability to input and modify
the process flowsheet configuration and to perform
design calculations involving a process flowsheet.
Because of the need to enhance material and energy
utilization, a chemical process is typically highly
integrated. Unconverted reactants and unwanted
byproducts arising from incomplete chemical con-
version are typically recycled after they are first
separated from the desired products. The recycle
enhances the overall chemical conversion and yield.
Also, the reaction or separation may have to be
carried out at a high temperature. In order to mini-
mize energy requirements, a feed-effluent heat ex-
changer may be introduced to recover waste heat
and to preheat the feed. The ideal design structure
of a process flowsheet is a tree from the viewpoint of
design calculations. Then the calculations can pro-
ceed sequentially. This is never ideal from the view-
point of material and energy utilization. The intro-
duction of recycle streams and heat exchangers
creates more cyclic structures in a process flowsheet
and makes it more difficult to determine an appro-
priate calculation sequence.
1.2 Analysis Synthesis & Design of
Chemical Processes
Three principal diagrams for a chemical process are
the block flow diagram (BFD), process flow diagram
(PFD) and the piping & instrumentation diagram,
(P&ID). Design is an evolutionary process which can
be represented by the sequence of process diagrams
describing it. To begin, an input-output diagram
may be sketched out. One can then break down the
process into its basic functional elements such as
the reaction and separation sections. One could also
identify recycle streams and additional unit opera-
tions in order to reach desired temperature and
pressure conditions. These basic elements lead to a
generic process block flow diagram, which can be
drawn after estimates of process flows and material
and heat balances are made. After preliminary equip-
ment specifications, a process flow diagram is made.
Finally, as the mechanical and instrumentation de-
tails are considered, the piping and instrumentation
diagram is created.
Other parts of the plant must be included. These
are:
Engineering Economic Analysis of Chemical Pro-
cesses
• Estimates of Capital Cost
• Estimation of Manufacturing Costs
• Engineering Economic Analysis
• Profitability Analysis
Technical Analysis of a Chemical Process
• Structure of Chemical Process Flow Diagrams
• Tracing Chemicals Through the Process Flow
Diagram
• Understanding Process Conditions
• Utilizing Experience-Based Principles to Con-
firm the Suitability of a Process Design
Analysis of System Performance
• Process Input/Output Models
• Tools for Evaluating System Performance
• Performance Curves for Individual Unit Opera-
tions
• Multiple Unit Performance
• Reactor Performance
• Regulating Process Conditions
• Process Troubleshooting
Synthesis and Optimization of a Process Flow Dia-
gram
• Synthesis of the PFD from the Generic Block
Flow Process Diagram
• Synthesis of a Process Using a Simulator and
Simulator Troubleshooting
• Process Optimization
The Professional Engineer, The Environment, and
Communications
• Ethics and Professionalism
• Health, Safety, and the Environment
• Written and Oral Communications
• The Written Report
© 2000 by CRC Press LLC
1.3 Strategy and Control of
Exhausts
Limits for exhaust emissions from industry, trans-
portation, power generation, and other sources are
increasingly legislated. One of the principal factors
driving research and development in the petroleum
and chemical processing industries in the 1990s is
control of industrial exhaust releases. Much of the
growth of environmental control technology is ex-
pected to come from new or improved products that
reduce such air pollutants as carbon monoxide (CO),
volatile organic compounds (VOCs), nitrogen oxides
(NOx), or other hazardous air pollutants. The man-
dates set forth in the 1990 amendments to the Clean
Air Act (CAA) push pollution control methodology
well beyond what, as of this writing, is in general
practice, stimulating research in many areas asso-
ciated with exhaust system control. In all, these
amendments set specific limits for VOCs, nitrogen
oxides, and the so-called criteria pollutants. An es-
timated 40,000 facilities, including establishments
as diverse as bakeries and chemical plants are af-
fected by the CAA.
There are 10 potential sources of industrial ex-
haust pollutants which may be generated in a pro-
duction facility:
1. Unreacted raw materials
2. Impurities in the reactants
3. Undesirable by-products
4. Spent auxiliary materials such as catalysts, oils,
solvents, etc.
5. Off spec product
6. Maintenance
7. Exhausts generated during start-up or shut-
down
8. Exhausts generated from process upsets and
spills
9. Exhausts generated from product and waste
handling, sampling storage, and treatment
10. Fugitive sources
Exhaust streams generally fall into two general
categories, intrinsic and extrinsic. The intrinsic
wastes represent impurities present in the reac-
tants, by-products, co-products, and residues as
well as residues used as part of the process, i.e.,
sources 1-5. These materials must be removed from
the system if the process is to continue to operate
safely. Extrinsic wastes are generated during opera-
tion of the unit, but are more functional in nature.
These are generic to the process industries overall
and not necessarily inherent to a specific process
configuration, i.e., sources 6-10. Waste generation
may occur as a result of unit upsets, selection of
auxiliary equipment, fugitive leaks, process shut-
down, sample collection and handling, solvent selec-
tion, or waste handling practices.
Control Strategy Evaluation
There are two broad strategies for reducing volatile
organic compound (VOC) emissions from a produc-
tion facility:
1. Altering the design, operation, maintenance, or
manufacturing strategy so as to reduce the
quantity or toxicity of air emissions produced.
2. Installing after-treatment controls to destroy
the pollutants in the air emission stream.
The most widely used approach to exhaust emis-
sion control is the application of add-on control
devices. For organic vapors, these devices can be
one of two types, combustion or capture. Applicable
combustion devices include thermal incinerators,
i.e., rotary kilns, liquid injection combustors, fixed
hearths, and fluidized bed combustors; catalytic
oxidation devices; flares or boilers/process heaters.
Primary applicable capture devices include condens-
ers, adsorbers, and absorbers, although such tech-
niques as precipitation and membrane filtration are
finding increased application.
The most desirable of the control alternatives is
capture of the emitted materials followed by recycle
back into the process. However, the removal efficien-
cies of the capture techniques generally depend
strongly on the physical and chemical characteris-
tics of the exhaust gas and the pollutants consid-
ered. Combustion devices are the more commonly
applied control devices, because these are capable of
a high level of removal efficiencies, i.e., destruction
for a variety of chemical compounds under a range
of conditions. Although installation of emission con-
trol devices requires capital expenditures, they may
generate useful materials and be net consumers or
producers of energy. The selection of an emission
control technology is affected by nine interrelated
parameters:
1. Temperature, T, of the inlet stream to be treated
2. Residence time
3. Process exhaust flow rate
4. Auxiliary fuel needs
5. Optimum energy use
6. Primary chemical composition of exhaust stream
7. Regulations governing destruction requirements
8. The gas stream’s explosive properties or heat of
combustion
9. Impurities in the gas stream
© 2000 by CRC Press LLC
Given the many factors involved, an economic
analysis is often needed to select the best control
option for a given application.
Capture devices are discussed extensively else-
where. Oxidation devices are either thermal units
that heat alone or catalytic units in which the ex-
haust gas is passed over a catalyst usually at an
elevated temperature. The latter speed oxidation and
are able to operate at temperatures well below those
of thermal systems.
Oxidation Devices
Thermal Oxidation
Thermal oxidation is one of the best known methods
for industrial waste gas disposal. Unlike capture
methods such as carbon adsorption, thermal oxida-
tion is an ultimate disposal method destroying the
objectionable combustible compounds in the waste
gas rather than collecting them. There is no solvent
or adsorbent to dispose or regenerate. On the other
hand, there is no product to recover. A primary
advantage of thermal oxidation is that virtually any
gaseous organic stream can be safely and cleanly
incinerated, provided proper engineering design is
used.
A thermal oxidizer is a chemical reactor in which
the reaction is activated by heat and is characterized
by a specific rate of reactant consumption. There are
at least two chemical reactants, an oxidizing agent
and a reducing agent. The rate of reaction is related
both to the nature and to the concentration of reac-
tants, and to the conditions of activation, i.e., the
temperature (activation), turbulence (mixing of reac-
tants), and time of interaction.
Some of the problems associated with thermal
oxidizers have been attributed to the necessary cou-
pling of the mixing, the reaction chemistry, and the
heat release in the burning zone of the mixing.
These limitations can reportedly be avoided by using
a packed-bed flameless thermal oxidizer, which is
under development.
Catalytic Oxidation
A principal technology for the control of exhaust gas
pollutants is the catalyzed conversion of these sub-
stances into innocuous chemical species, such as
water and carbon dioxide. This is typically a ther-
mally activated process commonly called catalytic
oxidation, and is a proven method for reducing VOC
concentrations to the levels mandated by the CAA.
Catalytic oxidation is also used for treatment of
industrial exhausts containing halogenated com-
pounds.
As an exhaust control technology, catalytic oxida-
tion enjoys some significant advantages over ther-
mal oxidation. The former often occurs at tempera-
tures that are less than half those required for the
latter, consequently saving fuel and maintenance
costs. Lower temperatures allow use of exhaust
stream heat exchangers of a low grade stainless
steel rather than the expensive high temperature
alloy steels. Furthermore, these lower temperatures
tend to avoid the emissions problems arising from
the thermal oxidation processes.
Critical factors that need to be considered when
selecting an oxidation system include:
1. Waste stream heating values and explosive prop-
erties. Low heating values resulting from low
VOC concentration make catalytic systems more
attractive, because low concentrations increase
fuel usage in thermal systems.
2. Waste gas performance that might affect cata-
lyst performance. Catalyst formulations have
overcome many problems owing to contami-
nants, and a guard bed can be used in catalytic
systems to protect the catalyst.
3. The type of fuel available and optimum energy
use. Natural gas and No. 2 fuel oil can work well
in catalytic systems, although sulfur in the fuel
oil may be a problem in some applications.
Other fuels should be evaluated on a case-by-
case basis.
4. Space and weight limitations on the control
technology. Catalysts are favored for small light
systems.
There are situations where thermal oxidation may
be preferred over catalytic oxidation. For exhaust
streams that contain significant amounts of catalyst
poisons and/or fouling agents, thermal oxidation
may be the only mechanically feasible control. Where
extremely high VOC destruction efficiencies of diffi-
cult to control VOC species are required, thermal
oxidation may attain higher performance. Also, for
relatively rich waste gas streams, i.e., having ±20 to
25% lower explosive limits (LEL), the gas stream’s
explosive properties and the potential for catalyst
overheating may require the addition of dilution air
to the waste gas system.
Catalysts — For VOC oxidation a catalyst de-
creases the temperature, or time required for oxida-
tion, and hence also decreases the capital, mainte-
nance, and operating costs of the system.
Catalysts vary both in terms of compositional
material and physical structure. The catalyst basi-
cally consists of the catalyst itself, which is a finely
divided metal; a high surface area carrier; and a
support structure. Three types of conventional metal
catalysts are used for oxidation reactions: single- or
mixed-metal oxides, noble (precious) metals, or a
combination of the two.
© 2000 by CRC Press LLC
Exhaust Control Technologies
In addition to VOCs, specific industrial exhaust con-
trol technologies are available for nitrogen oxides,
NOx, carbon monoxide, CO, Halogenated hydrocar-
bon, and sulfur and sulfur oxides, SOx.
Nitrogen Oxides
The production of nitrogen oxides can be controlled
to some degree by reducing formation in the com-
bustion system. The rate of NOx formation for any
given fuel and combustor design is controlled by the
local oxygen concentration, temperature, and time
history of the combustion products. Techniques
employed to reduce NOx formation are collectively
referred to as combustion controls and U. S. power
plants have shown that furnace modifications can
be a cost-effective approach to reducing NOx emis-
sions. Combustion control technologies include op-
erational modifications, such as low excess air, bi-
ased firing, and burners-out-of-service, which can
achieve 20 to 30% NOx reduction; and equipment
modifications such as low NOx burners, overfire air,
and reburning, which can achieve a 40 to 60%
reduction. As of this writing, approximately 600
boilers having 10,000 MW of capacity use combus-
tion modifications to comply with the New Source
Performance Standards (NSPS) for NOx emissions.
When NOx destruction efficiencies approaching
90% are required, some form of post-combustion
technology applied downstream of the combustion
zone is needed to reduce the NOx formed during the
combustion process. Three post-combustion NOx
control technologies are utilized: selective catalytic
reduction (SCR); nonselective catalytic reduction
(NCR); and selective noncatalytic reduction (SNCR).
Carbon Monoxide
Carbon monoxide is emitted by gas turbine power
plants, reciprocating engines, and coal-fired boilers
and heaters. CO can be controlled by a precious-
metal oxidation catalyst on a ceramic or metal honey-
comb. The catalyst promotes reaction of the gas with
oxygen to form CO2 at efficiencies that can exceed
95%. CO oxidation catalyst technology is broaden-
ing to applications requiring better catalyst durabil-
ity, such as the combustion of heavy oil, coal, mu-
nicipal solid waste, and wood. Research is under
way to help cope with particulates and contami-
nants, such as fly ash and lubricating oil, in gases
generated by these fuels.
Halogenated Hydrocarbons
Destruction of halogenated hydrocarbons presents
unique challenges to a catalytic oxidation system.
The first steps in any control strategy for haloge-
nated hydrocarbons are recovery and recycling. How-
ever, even with full implementation of economic re-
covery steps, significant hydrocarbons are present
as impurities in the exhaust stream. Impurity sources
are often intermittent and dispersed.
The principal advantage of a catalytic oxidation
system for halogenated hydrocarbons is operating
cost savings. Catalytically stabilized combustors
improve the incineration conditions, but still must
employ very high temperatures as compared to VOC
combustors.
Uses
Catalytic oxidation of exhaust streams is increas-
ingly used in those industries involved in surface
coatings: printing inks, solvent usage, chemical and
petroleum processes, engines, cross media transfer,
and a number of other industrial and commercial
processes.
1.4 Chemical Process Simulation
Guide
The following is a very brief account of a rough draft.
It is a description of a process simulation without
pollution prevention or waste minimization as es-
sential parts. The structure consists of four parts:
1. User Interface
2. Executive Program
3. Thermodynamic Unit Operations
4. Constants, Database, and Equations
(See Figure 78). The part the user sees is the user
interface. (This is where the user enters data (e.g.,
stream temperature, pressure and composition and
design parameters such as the distillation column
number of stages). The second part (executive pro-
gram) takes the user input and follows the instruc-
tions to control such things as calculation sequence
and convergence routines. It finds a solution in
which all the recycle loops have converged and all
the user specifications have been met. In the third
part, the chemical, physical, and thermodynamic
properties can be calculated. Here the thermody-
namics constant database, the correlation constants,
and the limits of the correlations and the equations
are stored. The fourth part is the unit operations
modules. They perform the engineering calculations,
such as the pressure drop in a pipe, based on the
pipe diameter and the Reynolds number.
You must satisfy the degrees of freedom and sup-
ply all needed information to the simulator. This
includes all compositional data as well as all data to
satisfy the Gibbs Phase Rule. This must be done for
all equipment, whether it is a pump or a flash drum.
There are two simulator types: sequential modular
and simultaneous equation. Sequential modular
simulators are more common. There are also hybrid
© 2000 by CRC Press LLC
systems. The sequential modular approach sequen-
tially calculates modules. It takes the process feeds
and performs the unit operation calculation to which
it is fed. The output is the conditions of the outlet
stream(s) along with information on the unit opera-
tion. This outlet stream(s) are fed to subsequent unit
operations and the calculations proceed sequen-
tially. If recycle streams are present in the chemical
process, these streams are “torn” (i.e., the user is
asked to supply an estimate of the stream specifica-
tion or the program responds with an initial zero
flow). The simulator calculates around the loop(s),
revising the input tear stream values, until the input
and output tear streams match. This is called con-
verging the recycle; often this is the major time
requirement and cause of simulator failure.
Below is an overview of a process simulator’s ca-
pabilities:
1. Steady state process simulation is not the right
tool for every process problem; it is effective
when vapor-liquid equilibrium is important, for
evaluating the steady state effect of process
changes, and for preliminary equipment sizing.
2. The engineer should always perform short-cut
calculations to estimate the solution; this al-
lows him to evaluate the process simulation
results and to speed-up and successfully com-
plete recycle convergence problems.
3. The thermodynamics property correlation is at
the heart of any process simulation; if it is
wrong, all the simulation results are wrong.
4. Most commercial process simulators are se-
quential modular; thus, they converge individual
unit operation modules sequentially and then
seek to converge recycle loops. Thus, useful
information can sometimes be obtained from an
“unconverged” simulation.
5. Of the four parts of a typical process simulator,
problems usually occur in the executive pro-
gram being unable to converge the program to
meet the specifications, in the thermodynamics
equations because the wrong thermodynamic
correlation is chosen by the user or adequate
thermodynamic data is unavailable, and in unit
operations modules again because user specifi-
cations cannot be met.
6. The process simulator forces the user to satisfy
the degrees of freedom before it will simulate
the process.
Component Separation via Flash and
Distillation
Although the chemical reactor is the heart of the
process, the separation system is often the most
expensive. Making good product and avoiding co-
product production is economically significant; this
may make the difference between an economical
and an uneconomical process. However, the product
must meet purity specifications before it can be
sold. We must deal with separations where the com-
ponents move between the liquid-vapor or liquid-
liquid phases. This includes flashing (also called
flash distillation, decanting), distillation, and ab-
sorption. Distillation accomplishes the component
distillation based upon the difference in boiling point
or vapor pressure where absorption is based on the
gas solubility difference. Since the trade-off between
operating and capital cost determines the equip-
ment design, estimating these costs is included.
Extraction and leaching use similar equipment and
the design issue is again solubility or mass transfer
from one phase to another (i.e., liquid to liquid and
solid to liquid, resp.).
The design of all this equipment is based on the
phase approaching equilibrium. An equilibrium stage
involves two steps: first is the perfect mixing of the
two phases such that equilibrium is reached, and
the second is perfect separation between the phases
(e.g., vapor and liquid, and liquid and liquid).
Phase Separation: Flash Drums and
Decanters
Phase separation can be a very cost effective sepa-
ration method. Flash drums are very popular with
cost conscious chemical engineers. It should be noted
that the product purity from a flash drum is limited
for it acts as a single equilibrium stage and thus
there must be significant differences in the compo-
nent boiling points to obtain relatively pure prod-
ucts.
Column Design: Objective
Tower operating costs are investigated based upon
operating cost. These costs and the column design
are initially based upon short-cut calculations. Us-
ing the short-cut results and some initial specifica-
tions, the column can be simulated. Assuming the
simulation converges, the column simulation can be
improved by changing the specifications.
Selecting Column Pressure Based Upon
Operating Cost (See Figure 82)
Energy is what drives the separation in a distillation
cost. The operating costs of a distillation are the
energy input in the reboiler and the energy remover
in the condenser. Refrigeration costs more than steam
per BTU transferred. A large portion of the cost is
the compression (both the associated capital and
operating costs). So to avoid refrigeration costs, it is
often economical to operate at higher pressure. A
pump is used rather than a compressor, to pump
the feed to the column. In this way cooling water can
© 2000 by CRC Press LLC
be used for cooling. The exceptions are for very high
pressures and when the high temperature in the
bottom of the column leads to product degradation.
For the first exception, the high pressure leads to
high capital cost (thick walled vessels) and hazard
considerations (e.g., mechanical explosion).
When we have a reasonable operating line pres-
sure we need to find the number of equilibrium
stages. The distillation module in the process simu-
lator will not calculate the required number of equi-
librium stages. It can be done by below bounds
found via short-cut calculations. The stream compo-
sitions and column diameters found using short-cut
calculations are only approximations. They may be
sufficient to eliminate this design option, but are not
necessarily good enough to use to design the col-
umn. It is the rigorous tower simulation that gives
real answers. Unfortunately they are not always
easy to converge. Therefore a step wise approach is
advocated. The first step is the short-cut calcula-
tions. The second is a simple rigorous simulation.
The next steps refine the rigorous simulation speci-
fications, and the last step is to optimize the column
design using the well-specified rigorous simulation.
The process simulator can easily calculate these
bounds. They also can estimate from the Gilliland
correlation, the column reflux ratio, and the number
of stages for a range of actual to minimum reflux
ratio values. The calculations are typically based
upon key component recoveries. Usually one speci-
fies the light-key component recovered in the distil-
late product and the heavy-key component recov-
ered in the bottom product. These are close to 100%.
Calculations rate existing equipment by comparing
them to ideal operation. In this case one could cal-
culate the predicted number of equilibrium stages
and compare this to the number of trays to calculate
tray efficiency. The short-cut calculations can be
performed in a rating mode; however, it is more
typical to perform a rigorous simulation with actual
feed compositions, duties, and reflux ratio and then
to manipulate the number of equilibrium stages
until the product compositions are matched.
1.5 Integrated Design of Reaction
and Separation Systems for Waste
Minimization
Pollution prevention is one of the most serious chal-
lenges that is currently facing the industry. With
increasingly stringent environmental regulations,
there is a growing need for cost and energy efficient
pollution prevention. In the 1970s the main focus of
environmental pollution was end of pipe treatment.
In the 1980s the main environmental activity of
chemical processes was in implementing recycle/
reuse policies in which the pollutants can be recov-
ered from terminal streams and reused. The current
approach towards pollution prevention is source
reduction in addition to end of pipe treatment and
recycle/reuse. Source reduction pertains to any step
that limits the extent of waste generated at the
source. It focuses on in-plant activities that reduce
the amount of hazardous species entering any waste
stream. The objective can be achieved through
changes in design/operating conditions that alter
the flow rate/composition of pollutant-laden streams.
The measures such as process modifications (tem-
perature/pressure changes, etc.) and unit replace-
ment and feedstock substitution, and reactor/sepa-
ration network design can be manipulated to achieve
cost-effective waste minimization. A systematic pol-
lution prevention methodology has been developed,
taking into account the fundamental understanding
of the global insights of the process. The problem is
formulated as an optimization program and solved
to identify the optimum operating conditions in vari-
ous units, reaction schemes, system design, opti-
mum selection of feedstocks, separating agents, etc.
for a fixed product throughput.
1.6 A Review of Computer Process
Simulation in Industrial Pollution
Prevention
EPA report 600R94128 discusses process simulator
needs as a tool for P2. Most state of the art simula-
tors provide many features that make them powerful
tools for the analysis of P2 alternatives in a wide
range of industrial processes. They have extensive
libraries of unit operation models, physical property
data, ability to incorporate user-supplied models
and data, and they can perform sensitivity analyses
and set design specifications using any process vari-
able. They include other important features such as
process optimization.
They are now very user friendly. They can signifi-
cantly contribute to U.S. Industrial P2 efforts be-
cause they can easily model and analyze waste wa-
ter streams. Industrial waste water is the largest
volume of hazardous waste in the U.S., and waste
water treatment is probably the largest application
of process simulation.
Current measurement obstacles of data collection
and data quality are overcome by the accurate and
reliable waste generation data provided by simula-
tion models. The obstacle of material balance clo-
sure is also overcome with the material balance
done by these simulators.
Although possessing many features that make them
powerful and convenient tools for process design
and analysis, current process simulators lack many
© 2000 by CRC Press LLC
critical aspects needed for P2. Some are general, yet
some are specific to P2. Some of these needs are:
Fugitive emissions estimations
P2 technology databases
Access to public domain data
Life cycle and ancillary operation analysis
Combustion byproduct estimation
Biological process modeling
Process synthesis could help determine alternative
chemical reaction pathways and catalysts, deter-
mine alternative chemical separation sequences and
efficiently incorporate waste treatment units into a
process design. Process simulation tools could be
helpful in dilute streams as the hazardous compo-
nents in chemical process streams are present in
trace amounts and the simulation could evaluate
alternative reaction pathways to prevent these
troublesome byproducts.
Improved models are needed for dynamic simula-
tion of process transients such as start-ups or shut-
downs, stochastic modeling to deal with non-routine
events such as accidents, upsets and spills and
large-scale modeling to understand the environmen-
tal conditions that result from interactions among
unit operations. Process simulators need to handle
various non-equilibrium phenomena (reaction ki-
netics, sorption, transport) impacting waste genera-
tion.
The following list contains some more capabilities
that would be desirable in process simulators for P2
purposes:
1. Fugitive emissions estimation. It is possible to
include emission factors into simulation archi-
tecture, application of deterministic emissions
correlations, and application of equipment fail-
ure analysis.
2. P2 Technology databases. P2 case studies have
revealed a series of effective equipment and
process modifications. They can be organized
by chemical, process, or unit operation, and
can be made available in the form of an expert
system for the process simulator user.
3. Access to public domain data. The TRI, RCRA
biennial survey, CMA waste data bank, and a
number of other sources of data could be useful
to the process simulator user in benchmarking
process configurations. Process simulators could
query these data banks.
4. Life cycle and ancillary operation analysis. Simu-
lation tools could be useful in evaluating the
upstream and downstream impacts of alterna-
tive process designs and modifications, as well
as the impacts of process ancillary operations
such as maintenance, cleaning, and storage.
 5. Combustion and byproduct estimation. Stack
air emissions from incinerators and combus-
tors may contain products of incomplete com-
bustion such as chlorinated dioxins and furans
and unburned principle organic hazardous con-
stituents. They may be difficult to predict and
measure. Process simulators, without the data
support to model these trace species, now have
the potential to do so.
6. Biological process modeling. These are increas-
ingly being applied for the treatment, remediation
and separation of hazardous wastes in air emis-
sions, waste waters, sludges, soils, and sedi-
ments. Few simulators currently contain unit
operation models for these processes.
Waste minimization and pollution prevention via
source reduction of a chemical process involves
modifying or replacing conventional chemical pro-
duction processes. The impact of these activities
upon process economics may be unclear, as increas-
ing treatment and disposal costs and a changing
regulatory environment make the cost of waste pro-
duction difficult to quantify.
There are some basic strategies for reducing pro-
cess wastes at their source. The flowrate of a purge
stream can be reduced by decreasing the purge
fraction, by using a higher purity feedstock, or by
adding a separation device to the purge or recycle
stream that will remove the inert impurity. Reaction
byproduct production can be reduced by using a
different reaction path, by improving catalyst selec-
tivity, or by recycling byproducts back to the reactor
so that they accumulate to equilibrium levels. Sol-
vent wastes can be reduced by recovering and recy-
cling the spent solvent, replacing the system with a
solventless process, or replacing the existing solvent
with a less toxic or more easily recovered solvent.
Previous work in source reduction has focused
upon generating alternatives. Hierarchical ap-
proaches to identify clean processes and the indus-
trial viability of solvent substitutions have been ex-
plored. Waste minimization via alternative reactor
conditions and parameters has also been explored.
Integrating environmental concerns into the de-
sign and operation of chemical manufacturing facili-
ties has become a necessity. Product and process
design with environment as an objective and not
just as a constraint on operations can lead to design
alternatives that improve both the environmental
and economic performance.
The usual way to reduce pollutant emissions has
been to add control technology to bring the process
into compliance with discharge standards. This has
led to the allocation of large amounts of capital to
the installation and operation of environmental con-
© 2000 by CRC Press LLC
trol equipment. There has been little operational
guidance about how to do better.
Design is not an easy activity. The input can be an
abstract description of an organization and the re-
sult a detailed description of a concrete product,
process, or system capable of satisfying those de-
sires. It is a decision process with many decision
makers and multiple levels of detail. After the design
is specified, methods for generating alternatives are
used, but because the time for completing a design
is limited, the number of alternatives and the level
of detail with which they can be analyzed is often
compromised. The analysis of alternatives using
engineering analysis (usually starting with mass and
energy balances) is applied to each alternative to
make predictions of the expected performance of the
system. Inputs and outputs of the process, flow
rates, compositions, pressure, temperature and
physical state of material streams, energy consump-
tion rate, stock of materials in the process, and
sizing of the equipment units are listed and ana-
lyzed.
The information for each alternative is then sum-
marized into indicators of performance to assess
whether the requirements specified during the ob-
jective formulation have been met. These objectives
include economic indicators (capital investment and
operating cost) and should include indicators of safety
and environmental performance. The alternatives
can then be ranked.
Process design is iterative. Results are evaluated
to identify opportunities for improvement before re-
turning to the beginning of the design cycle. When
the design team concludes that there are no oppor-
tunities for improvement, then the work stops.
The goal of proper design generation should be
that the design (1) have high economic potential, (2)
have high conversion of raw materials into desired
products, (3) use energy efficiently, and (4) avoid the
release of hazardous substances to the environ-
ment.
Pollution from a chemical process can be viewed
as the use of the environment as a sink for un-
wanted by-products and unrecovered materials.
Thus, design alternatives that increase the use of
process units and streams as material sources and
sinks could have lower environmental impact. En-
ergy integration techniques can reduce utilities con-
sumption by using process streams as sources and
sinks of heat. The use of processing task integration
in reactive distillation processes can reduce costs,
energy use and emissions.
The mathematical programming approach to pro-
cess synthesis usually uses a reducible superstruc-
ture that is optimized to find the best combination
of process units that achieve the design task. A
common feature is the use of cost minimization as
the objective function in the optimization. As the
value of recovered materials is not included, oppor-
tunities to improve economic performance of the
networks involved by increasing material recovery
beyond targets specified in the original optimization
problem may be overlooked.
Huang and Edgar generate waste minimization
alternatives with knowledge-based expert systems
and fuzzy logic as attractive tools for designers. This
is knowledge intensive as it requires knowledge from
many disciplines.
Huang and Fan developed a hybrid intelligent
design that improves the controllability of heat and
mass exchanger networks by choosing stream
matches that improve an index of controllability
while keeping the operating cost of the network at its
minimum. The system combines pinch analysis for
the generation of targets with an expert system,
fuzzy logic, and neural networks to assign stream
matches. This addresses the fact that highly inte-
grated processes are difficult to control.
Computer-assisted systems for the rapid genera-
tion of alternative synthesis paths to a desired chemi-
cal such as SYNGEN and LHASA are available. They
can support pollution prevention processes.
EnviroCAD is an extension of BioDesigner, a pro-
gram for the design and evaluation of integrated
biochemical processes. Input data consists of waste
streams and the system recommends alternatives
for waste recovery, recycling, treatment, and dis-
posal based on three knowledge bases. An expert
system for generating feasible treatment trains for
waste streams has also been embedded in the
Process_Assessor module of the BatchDesign_Kit
under development at M. I. T. The expert system is
based on heuristic rules containing the knowledge of
regulations and treatment technologies.
Some environmental impacts of design are not
normally generated in the analysis stage. Such im-
pacts include fugitive emissions and selectivity losses
in reactors. In the latter case, estimation of indi-
vidual by-products is usually not required. Frequently
economic performance is the only criterion. Mass
and energy balances, relevant for estimating the
pollutant emissions from a process, are not included
in the standard flow sheets used during process
design. Environmental concentrations of released
pollutants may be necessary for a proper evaluation
of the potential environmental impact of a design.
Commercial process simulators are frequently
deficient in predicting species concentration in di-
lute process effluent or waste streams. Unit opera-
tion models for innovative separation technologies
(e.g., membrane separations) and waste treatment
equipment are not included in commercial process
© 2000 by CRC Press LLC
simulators and are therefore usually not included in
conceptual process designs.
Difficulties in evaluating environmental perfor-
mance, needed for summarizing flow-sheet informa-
tion, include (1) relevant properties of chemicals
(toxicity, environmental degradation constants) are
not readily available to chemical engineers in pro-
cess simulators, chemical process design handbooks,
etc.; (2) location-specific knowledge is needed to
estimate potential environmental impacts; and (3)
people differ in the importance they assign to vari-
ous environmental impacts.
When the emission of a single pollutant is the
most important environmental concern affecting a
design, then the mass of that pollutant released into
the environment can be used as an indicator of
environmental impact. This was used to study the
trade-off between control cost and emissions of ni-
trogen oxides from a power plant and a refinery.
When more than one chemical is a source of envi-
ronmental concern, environmental evaluation be-
comes more complicated.
Dozens of different ranking and scoring schemes
have been proposed to evaluate chemicals based on
measures of toxicity or measures of toxicity and
exposure. Grossman and coworkers multiplied the
material flows in a chemical process by the inverse
of the 50% lethal dose of each material and added
the resulting figures to obtain a toxicity index. Fathi
Afshar and Yang divided material flows by their
threshold limit values (TLVs) and multiplied them by
their vapor pressure (assuming that fugitive emis-
sions are proportional to vapor pressure).
Selection and refinement of a final design is a
multiobjective decision problem, where economic,
environmental, and safety concerns may be in con-
flict. Improving one objective may worsen another.
For example, decreasing solvent emissions by in-
creased separations may lead to increased emis-
sions of combustion gases from energy generation.
In decision problems with multiple objectives, the
set of nondominated alternatives must be identified.
Each dominated alternative has at least one win-win
alternative that can be attained without sacrificing
achievement in any of the design objectives. The set
of nondominated alternatives remains after the re-
moval of all the dominated alternatives. The “best
compromise” alternative is selected from the set of
nondominated alternatives and this requires input
about the values and preferences of the people re-
sponsible for making the decision.
Multiobjective goal programming is a technique
that has also been used to solve chemical process
design problems without specifying weighting fac-
tors to trade off one objective against another. The
procedure involves stating goals for each objective of
the design, ranking the objectives in order of impor-
tance, and choosing the alternative that minimizes
lexicographically the vector of deviations from the
aspiration levels. This allows the decision-maker to
make trade-offs implicitly by specifying the aspira-
tion levels. The aspiration levels will be case specific.
This technique does not attempt to balance conflict-
ing objectives. A marginal improvement in a highly
ranked goal is preferred to large improvements in
many goals.
Sensitivity analysis determines whether the best
alternative identified advances the design objectives
sufficiently, given the levels of uncertainty, to make
further search unnecessary. The aspects of design
that are driving the environmental impact and the
trade-offs associated with the modifications of the
aspects of the design driving the impacts must be
identified and understood.
In December of 1992 the Center for Waste Reduc-
tion of the AICHE, the U.S. EPA and the U.S. DOE
sponsored a workshop to identify requirements for
improving process simulation and design tools with
respect to the incorporation of environmental con-
siderations in the simulation and design of chemical
processes. Most are still present today. Such needs
are:
Generation of Alternatives
1. Increase the integration of process chemistry
into the generation of design alternatives.
2. Develop tools to identify new reaction pathways
and catalysts.
3. Extend alternate generation methods to include
unconventional unit operations.
4. Develop methods that allow the rapid identifica-
tion of opportunities to integrate processes.
5. Develop methods to recognize opportunities to
match waste streams with feed streams and to
prescribe the operations needed to transform a
waste stream into a usable feed stream.
Analysis of Alternatives
1. Predict generation of undesired by-products.
2. Improve prediction of reaction rates.
3. Predict fugitive emissions and emissions from
nonroutine operations (e.g. start-up).
4. Improve characterization of non-equilibrium
phenomena.
5. Include waste-treatment unit operations in pro-
cess simulators.
6. Increase the ability of process simulators to
track dilute species.
7. Improve stochastic modeling and optimization.
8. Link process and environmental models.
9. Build databases of properties relevant to envi-
ronmental characterization of process and link
them to process simulators.
© 2000 by CRC Press LLC
10. Include information about uncertainties in da-
tabases.
11. Create databases with typical mass and energy
balances (including trace components of envi-
ronmental significance) for widely used raw
materials in the chemistry industry to facilitate
the characterization of upstream processes.
12. Develop guidelines to match the level of detail
used in process models with the accuracy needed
to make decisions.
Evaluation of Alternatives
1. Develop the accounting rules to allocate envi-
ronmental impacts to specific processes and
products in complex plants.
2. Develop environmental impact indices that are
able to combine data of different quality while
preserving their information content.
3. Develop screening indicators.
4. Develop frameworks that facilitate the elicita-
tion of preferences needed as input to multi-
objective optimization.
Sensitivity Analysis
1. Incorporate sensitivity analysis as a standard
element in papers and books related to chemi-
cal process design.
2. Develop indicator frameworks that allow rapid
identification of the features of a design that
drive its environmental impact.
In the language of economists, zero emissions sets
the objective of maximizing value added per unit
resource input. This is equivalent to maximizing
resource productivity, rather than simply minimiz-
ing wastes or pollution associated with a given prod-
uct. It emphasizes seven objectives:
1. Minimize the material intensity of goods and
services.
2. Minimize the energy intensity of goods and ser-
vices.
3. Minimize the toxic dispersion.
4. Enhance ability of material to be recycled.
5. Maximize sustainable use of renewable sources.
6. Extend product durability.
7. Increase the service intensity of goods and ser-
vices.
From the management standpoint there seem to
be four elements. They are identified as follows:
1. Providing real services based on the customer
needs.
2. Assuring economic viability for the firm.
3. Adopting a systems (life-cycle) viewpoint with
respect to processes and products.
 4. Recognizing at the firm’s policy level that the and emissions during cleaning, contaminated water
environment is finite, that the “carrying capac- condensate from steam stripping, etc.
ity” of the Earth is limited, and that the firm
bears some responsibility regarding the envi- 1.8 Models
ronment.
Model usage requires:
1.7 EPA Inorganic Chemical
1. Problem recognition
Industry Notebook Section V 2. Acceptance of responsibility to deal with the
The best way to reduce pollution is to prevent it in problem
the first place. Here are some ways to promote pol- 3. A sufficient incentive for action
lution prevention. 4. A belief that the possibility of finding a solution
exists
Substitute raw materials
Improve reactor efficiencies Models are used as partial substitutes for their
Improve catalyst prototypes to assist in designing, understanding,
Optimize processes predicting the behavior of or controlling the proto-
Reduce heat exchanger wastes and type. They must represent significant characteris-
inefficiencies tics of their prototype.
Improve wastewater treatment and recycling Steady state simulation is used for process design
Prevent leaks and spills and optimization through generation of mass and/
Improve inventory management and storage or energy balances.
Dynamic simulation is used for process control,
The best way to reduce pollution is to prevent it in start-up and shut-down.
the first place. Here are some problems that may General process simulators model the behavior of
occur, which can cause pollution problems. They a wide variety of processes.
must be prevented from occurrence. In most cases A specific case simulator is designed to predict the
the way to do that is obvious. The following is a list behavior of a particular process.
of factors contributing to pollution in plant design A local simulator is intended to look at a specific
that can be averted: byproducts, coproducts, heavy part of a process.
metals in the catalysts, spent catalysts, catalyzed A whole process simulator is designed to be able to
reaction has by-product formation, incomplete con- consider a complete process flowsheet.
version and less than perfect yield, intermediate
reaction products, trace levels of toxic constituents, General Simulation Packages
high heat exchange tube temperatures, high local- ASPEN PLUS
ized temperatures, higher operating temperatures, PROCESS/PROII
fugitive emissions, seal linkage, higher gas pres- HYSIM
sures, corrosion, waste generation from corrosion DESIGN II
inhibitors or neutralization, vent gas lost during CHEMCAD
batch fill, high conversion with low yield, non-regen- METSIM (general metallurgy)
erative treatment systems, insufficient R & D into SIMMET (mineral processing)
alternative reaction pathways missing opportunities
for eliminating waste, raw material and/or product Local Simulation Packages
have/has bad environmental impact, impurities, high F*A*C*T
vapor pressures, low odor threshold materials, toxic GTT-ChenSage, ChemApps
or nonbiodegradable materials that are water soluble, Thermochemistry
community and worker safety, large inventory, un- MTDATA
known characteristics and sources of waste streams, HSC
unknown fate and waste properties, unknown treat-
ment and management of hazardous and toxic waste, Specific Case Simulation Packages
leaks, leaks to groundwater, waste and releases from MAPPS (pulp and paper)
shutdown and startup, furnace emissions, inad- SULSIM (Claus process)
equate mixing, waste discharge from jets, tank BENEFITS
breathing, frequent relief, discharge to environment
from over pressure, injection of seal flush fluid into When used properly, process simulation has the
process stream, fugitive emissions from shaft seal following benefits:
leaks, releases when cleaning or purging lines, leaks

© 2000 by CRC Press LLC

 cost reduction many process units do not have equivalent
improved organizational effectiveness simulator models
reduction of capital cost by better design the properties of many substances are not in
reduction of time for design, commissioning and simulator data banks
start-up
reduction of pilot plant cost, size and 1.9 Process Simulation Seen as
complexity
material and energy optimization
Pivotal in Corporate Information
improved productivity and efficiency Flow
provision of training for new personnel Process modeling and simulation go hand in hand.
provision of screening model for projects A process model is a mathematical representation of
provision of repository for technical knowledge a production process. Simulation is the use of the
definition of gaps, deficiencies, and model to predict a plant’s performance and its eco-
inconsistencies in process knowledge nomics. Until recently, their application has been a
rather specialized design province of chemical engi-
Optimization neering.
optimize flowsheet Because of profitability, companies generally don’t
optimize unit operation have the large engineering staffs they used to have,
optimize operation economically or their staffs have been cut back significantly. So,
evaluate alternative raw materials while the workload has not changed, there are fewer
optimize location and flow of recycle streams people to do the work. Thus a greater percentage of
the engineering staff needs access to the results and
In New Processes Design benefits that come from simulation software.
At one time, DuPont adopted an eight-point ap-
optimize flowsheet proach to becoming “best in the industry.” Each
optimize operation economically point has a modeling or simulation component.
optimize unit The first six points lead to construction of a plant:
determine process sensitivities discovery of a superior product that can be manu-
factured with world-class chemistry; understanding
Evaluation of the process; translation of that understanding
predict effect on whole system into a viable, dynamic process model; confirmation
aid feasibility studies of the model in pilot facilities, as necessary; develop-
guide scale-up ment of on-line analyzers to get compositional and
evaluate alternatives physical property data in real time; and design of the
estimate possible effluents most effective manufacturing facilities. The process
guide further research model developed in step two or three, refined in
steps four and five, and used for design in step six
Other will then be used to run the plant — step seven —
equipment design perhaps with model-predictive control.
sensitivity testing The final point deals with operations optimization,
operating strategy evaluation the kind of modeling needed to make a business run
process and production control exceptionally well. Manufacturing plants must get
energy conservation the raw materials they need when they need them.
management information Products must be manufactured so that customers
business planning get what they want when they want it. Production
training and teaching facilities must be maintained in a way that ensures
improve communication, reproducibility and their reliability, safety, and operability.
accuracy This leads to the desire that we run the plant with
less maintenance, higher yield, less energy, quality
Limitations of Process Simulation at least as good or better than was produced before,
requires discipline with respect to record and at the same time increase productivity, which
keeping means fewer people and less capital.
high initial training cost We know that A plus B makes C, but we would like
results are only as good as the models and plant to know: the reaction mechanism; the transient in-
data available and hence may be given termediates that A and B go through in producing C;
undue credibility the reaction mechanisms of all the by-product reac-
costly for small, simple, one-time problems tions; which of all the steps in the reaction mecha-

© 2000 by CRC Press LLC

nism are kinetically controlled, which mass-transfer
controlled, and which heat-transfer controlled; if the
reaction is homogeneous, then what takes place at
every point in the reactor at every point in time; and
if the reaction is heterogeneous, the diffusion charac-
teristics of raw materials to the catalyst surface or
into the catalyst, as well as the reaction, reaction
mechanism and by-product reactions within the
catalyst, the diffusion characteristics of products
away from the catalyst, and the nature of the heat
transfer around the catalyst particle.
The optimization of the plant would be either tech-
nical supervision, not solely upon the expertise of
the operators and plant personnel, but upon the
knowledge of all the people who have worked on the
development of the chemistry and the process de-
sign. It would involve development of a model of the
entire plant by using rigorous chemical engineering
techniques. The chemistry of the primary reactions
and by-product reactions would be modeled.
It would be possible to run the plant as a model on
a computer and test out operating scenarios — higher
rates, different feedstocks, modified operating con-
ditions — before they are tried on the actual plant.
The model could also be used for operator training
and to test plant start-ups and shut-downs. The
model would run in real time, parallel to the plant,
for model-predictor control.
“Optimization of the site” would eliminate control
rooms for individual plants. When there is a control
system that permits hands-off operation of a plant,
and there is an expert system to coach the operating
personnel through unusual events, then a central-
ized control room serving many plants is certainly
possible.
Goals change. On one day, for example, the busi-
ness decision might be to optimize plant output
because of a need for more product. Another day, or
week, the decision might be to optimize the costs
from the plant, for example, by selecting some alter-
nate feedstock. Optimization of energy consumption
or minimization of undesirable effluents from the
plant, or some combination of such factors, might be
other goals.
1.10 Model-Based Environmental
Sensitivity Analysis for Designing
a Clean Process Plant
Process integration is being employed for the reduc-
tion of energy and material costs. More recently it
has been used for the minimization of waste. Pro-
cess streams are heavily interacted among units in
an integrated process plant. Thus, various opera-
tional problems are due to severe disturbance propa-
gation in the system. If these disturbance variables
are environmentally sensitive, then the operational
© 2000 by CRC Press LLC
problems will become environmental problems. Such
environmental problems may not be solved by con-
trol design. Thus, they should be prevented during
process design. This means the design must be
environmentally benign, i.e., effectively rejecting
environmentally sensitive disturbance propagation
through the process system, as well as cost effective.
Thus we propose a model-based system sensitivity
analysis approach for developing an environmen-
tally benign process. The important elements of such
a system are the waste generation/propagation
models for different types of process operations,
such as reaction, distillation, extraction, adsorp-
tion, and heat exchange operations. They represent
system responses to environmentally sensitive dis-
turbances and fluctuations. Although first-principles
based, the models are simplified in linear form.
Therefore, they can be easily embedded into a pro-
cess design procedure. Also an introduction is made
of a model-based waste minimization index for evalu-
ating the cleanness of a process design. Now the
design decisions will be evaluated not only by cost
constraints, but also by waste reduction require-
ments. This allows process designers to perform
effective sensitivity analysis of process alternatives,
to identify any inappropriate connections among
process units, and to quantify the severity of envi-
ronmental impact of the design. It will also facilitate
designers to derive improved process designs. This
approach will apply to solve real-world problems by
analyzing industrial processes where reactors, dis-
tillations, extraction, and heat integration occur.
The resulting process will reduce waste by 10%
through restructuring the topology of the system,
and by introducing appropriate recycling.
1.11 Pollution Prevention in
Design: Site Level Implementation
Strategy For DOE
As the true cost of waste management has been
realized, pollution prevention has received increased
interest in recent years. Costs associated with pollu-
tion control and environmental compliance are con-
tinuing to rise as environmental regulations become
more stringent so that DOE must develop or buy
technologies to meet stricter emissions and disposal
standards. Pollution prevention has become not only
an environmentally friendly policy, but also a pru-
dent business practice. It can be used as a powerful
tool for cutting the rising costs associated with waste
management while it helps to create superior prod-
ucts, services, and facilities.
The best time to incorporate pollution prevention
strategies is up front, in the design phase of prod-
ucts, services, and facilities, because this is where
and when the process that reduces or generates
waste is defined and the materials that create or
eliminate waste is chosen. As much as 70% of a
product’s or facility’s life cycle costs are fixed during
the design phase. Instead of waiting until the opera-
tional phase to examine pollution permission oppor-
tunities, large efficiency gains can be achieved by
incorporating pollution prevention up front during
design where they can be planned into the full life
cycle of the project, including construction, opera-
tion, and decommissioning. It is easier to change a
drawing than to retrofit an entire facility. In addi-
tion, identifying pollution prevention opportunities
during design can reduce or eliminate environmen-
tal compliance and liability concerns before they are
even created.
Pollution prevention is any practice that elimi-
nates or minimizes waste generation. EPA defines it
as source reduction, meaning reducing waste or
pollutants before they are created, prior to recycling,
treatment, or disposal.
The P2 by Design project has provided an excellent
opportunity for collaboration among facilities, com-
bining pollution prevention expertise to assist op-
erations offices throughout the U.S. Department of
Energy (DOE) Complex since fiscal year 1993.
There have been nine barriers to implementation
of pollution prevention in design. They are:
Pollution prevention is a separate program rather
than a routine part of the design process.
Widespread application of pollution prevention re-
quires a paradigm shift for designers and man-
agers otherwise accustomed to pollution con-
trol.
Lack of definitive pollution prevention criteria.
Pollution prevention requests tend to conflict with
budget/schedule requirements.
Perception that pollution prevention and environ-
mentally sound practices are more expensive
and less efficient.
Project managers and designers need incentives to
make pollution prevention a routine part of
design.
A large majority of design work is non-project work,
which falls out of the scope of many DOE re-
quirements.
Resource/energy management, safety and indus-
trial health and pollution prevention are each
viewed as separate programs.
Engineers often do not receive feedback on perfor-
mance of equipment, specified materials and
processes, and actual facility operating and
maintenance costs.
© 2000 by CRC Press LLC
The pollution prevention conceptual design re-
ports (CDR) should be sufficiently detailed to ensure
that:
1. the concepts are feasible
2. risks are identified and addressed, and
3. life project cost estimates can be prepared.
Areas to address in the CDR are:
Anticipated waste streams during construction, op-
eration and decommissioning
Management methods to prevent or minimize antici-
pated waste streams
Methods to eliminate and/or minimize use of haz-
ardous materials
Methods to eliminate and/or minimize energy and
resource-intensive processes
Decontamination and disposal requirements
Methods to conserve resources.
1.12 Pollution Prevention in
Process Development and Design
Incorporating pollution prevention into process de-
velopment and design means cost effectiveness. Early
decisions in the development process determine later
development activities, such as laboratory and pilot
plant studies, equipment and materials selection
and project economic analysis. Unforseen technical,
regulatory and economic consequences of design
choices can be anticipated. Thus the technical and
economic risk associated with environmental risks
is reduced. There can also be quicker time-to-mar-
ket, process innovation, improved quality of prod-
ucts and increased efficiency when there is early
consideration of environmental design.
Some questions to be raised in the process devel-
opment cycle include:
Exploration of the toxicity of the product
What is the basis for product purity specifications?
(Useful for design of separation and recycle sys-
tems).
What related products are anticipated? (Can clean-
ing related wastes be minimized).
How will the product be packaged?
Process Development should include the following:
Bench scale testing to validate process chemistry
Conceptual design to determine economic feasibility
Pilot-scale testing to determine engineering issues
for process scale-P
Preliminary engineering: specifications for detailed
(pre-construction and construction-phase) en-
gineering
Pollution prevention data from bench-scale testing
should include corrosion rates of candidate con-
struction materials, screen for catalytic effects of
candidate materials, corrosion products, feed impu-
rities, etc. It is also essential to obtain vapor pres-
sure data for products and intermediates, vapor-
liquid equilibrium data for potential entrainers,
diluents, and trace compounds. Also needed are
loading capacity and regenerative properties of
adsorbents. The reactor will need data for reaction
stoichiometry, equilibrium yield, catalyst activity,
activity and lifetime, the identity and characteriza-
tion of reaction byproducts, the kinetics of major
side-reactions, and the effects of recycle.
The effect of reactor mixing and feed distribution
on byproduct formation, fouling rates in heat ex-
change equipment, corrosion studies, and sedimen-
tation rates and product stability all will be neces-
sary.
It is important to allow easy access to storage
tanks, reactors, etc. for cleaning. Tanks and vessels
should drain completely. Piping design should allow
recovery of waste streams separately, should have
minimal lengths of piping runs, minimal valves and
flanges, drains, vents and relief lines should go to
recovery or treatment and valves should be bellow-
seal or zero-emission.
In-line process analyzers are to be used. Closed-
loop (purge style) sampling ports, preventative main-
tenance monitoring equipment, real-time monitor-
ing of foulage, leaking of heat exchangers and
mode-based control are all emphasized.
Foul-resistant materials (e.g., Teflon) on heat ex-
changer surfaces need frequent cleaning and so do
glass or polymer lined vessels.
Use “hidden waste costs” in cost equations and
“penalty functions” for releases based on environ-
mental objectives.
Some of the process design heuristics for pollution
prevention are:
Seek to minimize the number of process steps
Minimize potential for leaks
Maximize process selectivity at each unit operation
Minimize process utility requirements
Segregate process streams where possible
Design for operability
In regard to wastes, one must be vigilant for:
wastes related to production and extraction (i.e.,
mining) of raw materials and intermediate prod-
ucts
© 2000 by CRC Press LLC
emissions resulting from production of energy for
the process (including off-site generation)
wastes resulting from packaging, storage, and trans-
portation of raw materials and products
wastes from decommissioning of process facilities
cleaning, maintenance, start-up and shut-down
wastes
non-point source emissions including contamina-
tion of storm water, trash, and soils in process-
ing areas
secondary wastes generated during waste treatment
operations (ash, sludges, biosolids, spent
adsorbents, etc.)
direct release of product to the environment during
use
Appropriate screening vectors might include:
Persistent or bioaccumulative toxins (heavy metals,
dioxins, etc.)
Acute toxins or other materials requiring special
handling
Specifically-regulated materials (e.g., Toxics Release
inventory chemicals)
Greenhouse gases
Ozone-depleting chemicals
Materials specifically identified in existing or antici-
pated permits
1.13 Pollution Prevention
Pollution Prevention (P2) opportunity can be identi-
fied by the industry sector, product, or production
process that is related to your business. Pollution
Prevention can be accomplished by any of the five
following methods.
1. Product Design/Material Selection — Product
design is a process of synthesis in which prod-
uct attributes such as cost, performance,
manufacturability, safety, and consumer ap-
peal are considered together. Product design for
P2 incorporates environmental objectives with
minimum loss to the product’s performance,
useful life, or functionality.
2. Process Design — Process designers consider
production attributes such as cost, productiv-
ity, end-part manufacturability, and operator
safety when designing a production process.
Process design P2 incorporates environmental
objectives with minimum loss to the production
process, stability and productivity in particular.
3. Process Improvement/Material Substitution —
Production Process improvements for P2 are
considered after the process equipment is al-
ready in place. Although this continuous method
of improvement yields varying degrees of suc-
 cess, it is a viable option to incorporate pollu-
tion prevention into an already existing process.
4. Energy Conservation—Energy conservation mini-
mizes power plant emissions through the effi-
cient use of energy in the production process by
minimizing pollution offsite at the power plant.
5. Environmental Management Systems—Environ-
mental management systems identify pollution
prevention opportunities in order to implement
one of the above P2 methods.
1.14 Pollution Prevention Research
Strategy
The four objectives of this strategy are to: deliver
broadly applicable tools and methodologies for P2
and sustainability; develop and transfer P2 technol-
ogy approaches; verify selected P2 technologies; and
conduct research to address economic, social, and
behavioral research and P2.
The next advances will represent more fundamen-
tal changes in individual lifestyle, industrial process
design, consumer products, and land use so that
future research must focus on quantum leaps in-
stead of incremental improvements. They require a
commitment by the public and private sectors to
support long-term research that can, if carefully
planned, produce the needed technology and tools
that take pollution prevention to the next level.
Some of the goals and program emphases will:
develop process simulation tools.
support fundamental engineering research in ad-
dressing green chemistry
develop and test improved synthesis pathways
continually develop process feedback techniques for
pollution prevention.
develop intelligent controls for process operations.
understand organizational decision related to hu-
man health and environmental protection.
Also, ORD (Office of Research and Development)
will use electronic technology (e.g., Internet home
pages, distance learning) to the maximum extent
possible as a means of engagement with stakehold-
ers. The research products developed by ORD will be
designed to be available electronically, and ORD
intends to be a major provider of pollution preven-
tion research and development products via the
Internet.
ORD will only be able to contribute meaningfully
to the future direction if it concentrates on longer
term research which will produce a new generation
of technologies to move pollution prevention beyond
the “low hanging fruit”. This can be achieved with a
commitment from the public and private sectors.
© 2000 by CRC Press LLC
Protecting human health and the environment
means we must look beyond the TRI-listed chemi-
cals. A number of industries already see the need for
a more holistic approach with the design for envi-
ronment (DfE) and industrial ecology, product stew-
ardship (DfE, life cycle assessment) and clean tech-
nology.
The SAB chose the high priority human health
and environmental risks to be
High-priority human health risks
Ambient air pollutants
Worker exposure to chemicals in industry and agri-
culture
Indoor air pollution
Pollutants in drinking water
High-priority risks to natural ecology and human
welfare
Habitat alteration and destruction
Species extinction and overall loss of biological di-
versity
Stratospheric ozone depletion
Global climate change
Pollution prevention approaches are needed for
targeted industries in the industrial sector. (In most
cases, these were aligned with specific regulatory
programs or agency initiatives.)
A sector-based approach was used to organize and
evaluate recent research and development activities
already occurring for pollution prevention. An eco-
nomic sector can be defined as a grouping of enter-
prises that produce similar goods and services. The
sectors identified by SAB were: industrial, agricul-
tural, consumer, energy, and transportation.
The criteria for choosing topical areas addressing
high-risk human health or environmental problems
did not exclude a problem based solely on the lack
of available data indicating high risk. The major
funders of pollution prevention research for the
manufacturing sector are DOE, DOD, DOC-NIST,
The National Science Foundation (NSF), the EPA,
and DOA.
ORD’s goals are
I. ORD will deliver broadly applicable tools and
methodologies for pollution prevention and
sustainability.
II. ORD will develop and transfer pollution preven-
tion technologies and approaches.
III. ORD will verify selected pollution prevention
technologies.
IV. ORD will conduct research to address economic,
social, and behavioral research for pollution
prevention.
 The goal of the research effort is to improve exist-
ing design practices by developing more environ-
mentally benign chemical syntheses and safer com-
mercial substances. This encompasses all types and
aspects of chemical processes (e.g., synthesis, ca-
talysis, analysis, monitoring, separations and reac-
tion conditions). Emphasis will be on (1) an extra-
murally focused program on green chemistry and (2)
an in-house program on improved oxidation path-
ways.
Both continuous and discrete engineering ap-
proaches are being pursued to prevent and reduce
pollution including equipment and technology modi-
fications, reformulation or redesign of products,
substitution of alternative materials, and in-process
changes. ORD will support the potential areas of
improved reactor, catalyst, or process designs in
order to reduce unwanted products.
Engineering will rely on technologies that allow at
or near “zero releases” of waste. Recycling will be
very important, preventing or minimizing releases of
toxic metals and organics. Separation technologies,
such as adsorption, membranes, filtration, distilla-
tion, and combinations of these will be used.
ORD will design approaches for predicting the
performance of intelligent controls (IC) in pollution
prevention applications. Such approaches as fuzzy
logic, neural networks, and genetic algorithms will
play a part.
Pollution Prevention in Design: Site-
Level Implementation Strategy for DOE
Costs associated with pollution control and environ-
mental compliance are continuing to rise as environ-
mental regulations become more stringent, requir-
ing DOE to develop or buy technologies to meet
ever-stricter emissions and disposal standards. Pol-
lution prevention has become not only an environ-
mentally friendly policy, but also a prudent business
practice. It can and should be used as a powerful
tool for cutting the rising costs associated with waste
management while it helps to create superior prod-
ucts, services, and facilities.
The most effective time to incorporate pollution
prevention strategies is up front, in the design phase
of products, services, and facilities because this is
where and when the processes generate or reduce
waste are defined and the materials that create or
eliminate waste are chosen. Up to 70% of a product’s
or a facility’s life cycle costs are fixed during the
design phase. By changing the traditional practice of
waiting until the operational phase to examine pol-
lution prevention opportunities, large efficiency gains
can be achieved by incorporating pollution preven-
tion up front during design where they can be planned
into the full life cycle of the project, including con-
© 2000 by CRC Press LLC
struction, operation and decommissioning. It is easier
to change a drawing than to retrofit an entire facil-
ity. Also identifying pollution prevention opportuni-
ties during design can reduce or eliminate environ-
mental compliance and liability concerns before they
are even created.
Moving pollution prevention into the design phase
supports a desired paradigm shift from pollution
control to prevention. The end result of such a shift
in thinking will be designs that result in less emis-
sions to the environment, less waste being shipped
to hazardous waste landfills, less burial of radioac-
tive and/or mixed waste, fewer compliance obliga-
tions for DOE, reduced liability concerns, improved
public perception, improved worker safety, and ulti-
mately, less cost to DOE.
1.15 Pollution Prevention Through
Innovative Technologies and
Process Design at UCLA’s Center
for Clean Technology
The redesign of products and processes to prevent
waste is becoming more attractive than the retrofit-
ting and disposal strategies needed to handle waste,
if only based on cost alone. The CCT pollution pre-
vention program reduces the generation of waste
and their educational program focuses on develop-
ing innovative technologies and understanding the
flow of materials.
Process flowsheet analysis aims to identify process
configurations that minimize waste. Reaction engi-
neering research enables the prediction of trace level
pollutant formation, which will aid in the design of
clean synthesis and safe reactor technologies. Inves-
tigators strive for advances in separation technolo-
gies which will allow by-products to be effectively
concentrated and recycled.
The flow of materials, from the acquisition of raw
materials to the disposal of products and wastes is
essential for pollution prevention. This can help to
identify whether wastes in one industrial sector can
be viewed as raw materials in another. Detailed
study of material flows can also reveal the types of
processes and products responsible for toxic waste
generation.
There is a complex interdependency of many prod-
ucts and processes. Two related approaches are
employed to further study the complex systems used
to convert raw materials to products. One is known
as Industrial Ecology. It examines how wastes can
be converted into raw materials. Another approach,
called Life Cycle Assessment, starts with a particu-
lar product and identifies the precursors required
for its manufacture and use, and then examines the
impacts of its ultimate disposal.
 Process reaction engineering has always stressed
the search for pathways between raw materials or
reactants and high yields of desirable end products.
Now, the new process reaction engineering required
for source reduction must employ design methods
capable of minimizing production of trace byproducts.
Instead of following the concentration of compo-
nents present at percent-level concentrations, we
must follow species in the low ppm concentration
levels. Thus, two levels of fundamental research in
the analysis of reaction pathways are currently be-
ing examined.
Detailed Chemical Kinetic Models (DCKMs) involv-
ing thousands of elementary reactions and fluid
mechanical modeling are being developed to de-
scribe industrial processes such as combustion,
petroleum cracking, and chemical vapor deposition.
Generic software tools for these kinetic models are
being developed to identify process conditions that
minimize either the total amount of waste generated
or the formation of particular species, such as the
formation of air toxics in combustion systems.
At another level, both ab initio and semi-empirical
quantum mechanical methods are being used to
estimate the thermochemistry and rate parameters
associated with the formation of key pollutants.
Combined, both molecular and atomic modeling
approaches provide powerful new tools for the selec-
tion and control of chemical pathways.
Overview of the Combustion Air Toxics
Program
Combustion of fossil fuels is both the major source
of energy production today as well as the principal
source of air pollution. It is imperative that combus-
tion devices be designed not only to operate at peak
thermal efficiencies, but also to result in the emis-
sion of lowest possible levels of toxic by-products.
The development of “clean” combustion devices
requires a better understanding of the fundamental
chemical and physical processes that are respon-
sible for the formation of toxic by-products and how
these by-products are related to fuel structure, op-
erating conditions, and device design.
The experimental and computational program is
for the chemical kinetic processes responsible for
formation and destruction of trace toxic combustion
by-products such as PAHs, in hydrocarbon flames.
The parallel theoretical work involves the Detailed
Chemical Kinetic Models (DCKM) to account for ex-
perimental measurements and to predict the forma-
tion of toxic formation by-products over a range of
conditions from first principles. DCKMs are then
coupled with transport models to simulate the be-
havior of laboratory flames for mechanism valida-
tion and to predict the fate of PAHs as a function of
© 2000 by CRC Press LLC
fuel structure and operating conditions. Ultimately
these mechanisms will be used to predict the emis-
sion behavior of large-scale combustors for the op-
timal design and control of these devices.
Formation of Aerosols in Combustion
This program is to describe the formation and dy-
namics of aerosols, including those containing met-
als, in combustion processes and the generalized
models for predicting the scavenging rate of sub-
micron aerosols by larger ones. New measurements
are underway to establish the size of distributions of
metal-containing aerosols formed in flames and to
assess the extent of partition toxic species on differ-
ent aerosol particle sizes formed in combustion, as
control technologies needed to manage aerosol emis-
sions are highly dependent on particle sizes.
Interaction of Fluid Dynamics and
Chemical Kinetics
This is directed towards the interaction of chemistry
and fluid mechanics in influencing the emissions
from combustion devices. The effect of hydrody-
namic strain on mixing, flame ignition, extinction,
and burning rate are investigated. Strain rates large
enough to cause flame intermittency are typically
found in highly turbulent flames but can also be
introduced by aerodynamic and acoustic phenom-
ena; this can lead to incomplete burning in combus-
tors and incinerators. Consequently, research is
underway to induce high strain rates to enhance
mixing and burning rates while controlling the levels
of emissions of toxic hydrocarbons and NOx at a
minimum level.
Minimizing the Wastes from the
Manufacture of Vinyl Chloride
Eleven billion pounds of vinyl chloride monomer
(VCM) are produced annually in the United States
by the thermal cracking of 1,2-C2H4Cl2 (ethylene
dichloride to EDC). The yields are better at atmo-
spheric pressure, the decomposition of EDC to VCM
commercially is at pressures of 10 to 30 atm and at
temperatures of 500 to 600 C to reduce equipment
size, to improve heat transfer and to separate better
HCL from the product VCM. To maintain high VCM
selectivities, EDC conversions are generally kept at
50 to 70%. Higher temperatures and longer reaction
times lead to the production of undesirable by-prod-
ucts that include C2H2, CH3Cl, CCL4, CHCl3, C4H4,
and C6H6 as well as higher molecular products and
tars. These light and heavy by-products, some of
which are potentially toxic, must be further pro-
cessed, incinerated, or disposed of by other means.
This extends the use of detailed studies of elemen-
tary reactions to VCM production. Further, through
determining by semi-empirical quantum mechani-
cal calculations the rate parameters for these reac-
tions, the study tries to demonstrate the link be-
tween DCKM and the atomic modeling of rate
parameters.
Mass Exchange Networks for Pollution
Prevention
The general Mass Exchange Network (MEN) synthe-
sis problem is stated as: Given a set of pollutant rich
process streams and a set of pollutant lean streams,
synthesize a network of mass exchange units that
can transfer polluting species from the rich streams
to the lean streams at minimum cost. The goal of the
synthesis is to identify the set of exchangers and the
configuration of streams that optimize the transfer.
An optimal network of mass exchangers may achieve
the desired separation at minimum capital cost,
minimum oparing cost, or some combination of the
two. A key feature of this approach is that it com-
bines thermodynamic and driving force constraints
into the optimization. A recently developed linear
programming formulation of the variable target MEN
problems allows the computation of the minimum
utility cost for large scale problems. A novel pertur-
bation technique is being employed to establish struc-
tural properties of the optimal solutions of the
nonisothermal MEN synthesis problems.
1.16 Assessment of Chemical
Processes with Regard to
Environmental, Health, and Safety
Aspects in Early Design Phases
In the early phases of designing a new fine chemical
process (reaction path synthesis, conceptual
flowsheet synthesis) many important decisions must
be made. Selection of the optimal chemical synthe-
sis pathway to the desired product fixes a large
amount of costs and development time of the pro-
cess. Thus, such decisions should include all avail-
able information, such as chemical and economic
knowledge (yield, selectivity, raw material prices) as
well as technological and environment, health, and
safety (EHS) aspects. Any EHS problem that is not
identified and considered at early phases can lead to
wrong decisions and large problems during the later
design process.
Here a tool is proposed which allows fast evalua-
tion of a chemical reaction or a basic flowsheet of a
chemical process in order to identify major problems
in the fields of environment, health, and safety. The
identified problems are quantified according to its
relevance to the design process, i.e., according to the
effort to handle an EHS problem. The results can be
displayed both to user (chemist or chemical engi-
© 2000 by CRC Press LLC
neer) who has only general knowledge in these fields
and to an expert in EHS-questions. The decision
process to find the optimal chemical reaction alter-
native can be supported. The tool is applied to a six-
stage batch process to 8a-Amino-2,6-Dimethylergolin,
an intermediate of the pharmaceutical industry
(Novartis). The results of the assessment of this
process are compared to a detailed risk analysis
done by industry.
The tool consists of:
• Database of EHS-data: Uing an interface to
public databases (e.g., ECDIN, CHRIS), all rel-
evant information is automatically collected and
checked
• Interface to batch process simulation software:
Material balance for process assessment are
obtained from the Batch Plus or Batch Design
Kit
• New assignment method: First all EHS-infor-
mation of the process is collected in 11 effect
categories (e.g., fire, acute toxicity, aquatic tox-
icity). Then the information is aggregated ac-
cording to clearly stated principles (e.g., scien-
tific, expert fixed) and finally yields in indices
which represent the size of the EHS-problem
(how cheap and fast can a problem be managed
during process development). As the assess-
ment is fully automatized, results of changes in
input data or assessment method can be checked
easily.
• Method library: Besides the new assessment
methods, other methods from the literature can
be chosen for process assessment for compari-
son (e.g., Waste Reduction, Inherent Environ-
mental Hazard)
• User interface: The relevant EHS-information of
processes can be displayed in a graphical way
depending on the degree of detail chosen by the
user. Simple overall indices of reaction route
alternatives can be displayed as well as in depth
studies of the thermal risk of a certain stage or
details of the aquatic toxicity of a certain sub-
stance.
A tool which delivers such information could be a
valuable method to support the process of compar-
ing alternative reaction pathways. It also improves
the transparency of considering EHS-aspects during
the decision process. Since decisions can be repro-
duced and documented easily, communicating the
design decision based on EHS-effects should be
easier. Therefore, this tool could be a useful comple-
tion to existing chemical, technological, and eco-
nomic methods for process design.
1.17 Small Plants, Pollution and
Poverty: New Evidence from Brazil
and Mexico
New data from Mexico and Brazil analyze relation-
ships to linking economic development, the size dis-
tribution of manufacturing plants, and exposure to
industrial pollution. This study addresses air pollu-
tion and small plants (with 1 to 20 employees) as
well as medium and large plants. The study shows
that small plants are more pollution-intensive than
large facilities. It also shows that small plants domi-
nate poor regions and are a relatively small source
of employment in high-income areas. Industry is
also more pollution intensive in low-income regions,
at least for Brazil. A standard of six dirty industries
document a decline of 40% in the “dirty sector”
share of industrial activity form the poorest to the
richest municipalities. Yet, poor areas do not suffer
more from industrial pollution. The risk of mortality
from industrial air pollution is much higher in the
top two income deciles among Brazil’s municipali-
ties. The great majority of projected deaths in the
high-income areas are attributable to emissions from
large plants. The scale of large-plant emissions domi-
nates all other factors. So lower-income areas suffer
much less from industrial air pollution in Brazil,
despite a higher dirty-sector share and greater preva-
lence of emissions-intensive small plants.
1.18 When Pollution Meets the
Bottom Line
If a manufacturer learned that there were untapped
opportunities to reduce waste and emissions within
a plant that would also significantly cut costs, one
would think that the company would seize on such
opportunities and implement them.
Experience dictates, however, that these opportu-
nities are not always taken. These findings were
found in a collaborative study by the National Re-
sources Defense Council (NRDC), an environmental
advocacy group, Dow Chemical, Monsanto, Amoco,
and Rayonier Paper.The study participants were all
interested in pollution prevention in a real life set-
ting and they wanted to know the reason for the lack
of widespread reliance on promising pollution pre-
vention techniques.
The project found that once pollution prevention
opportunities were found, corporate business priori-
ties and decision making structures posed formi-
dable barriers to implementing those opportunities.
Most environmental professionals outside of indus-
try incorrectly assume that a pollution prevention
plan that actually saves money and is good for the
environment will be quickly seized upon by U.S.
© 2000 by CRC Press LLC
business. This work shows that such opportunities
may not be sufficiently compelling as a business
matter to ensure their voluntary implementation.
1.19 Pollution Prevention as
Corporate Entrepreneurship
Since pollution prevention can produce significant
and quantifiable corporate gains, one wonders why
it would not be most likely developed and imple-
mented as such activities benefit the strategic and
financial position of the corporation. The research
challenge is to understand why pollution prevention
has not received greater attention and action by
corporations.
First, corporations do not widely view pollution
prevention as its benefits are rarely recognized.
Corporations also do not identify the factors that
prevent or allow the marshalling of resources to
exploit this potential opportunity. However, the data
from corporate environmental reports are an imper-
fect mirror of corporate pollution activities and these
conclusions must be interpreted with some care.
Further research is needed to better understand
why pollution prevention is not recognized as an
opportunity. Perhaps it is due to the fact that pollu-
tion prevention is an activity whose gains are pro-
duced by generating less of something, in this case
pollution, and this contrasts with the norm of growth
and greater production. In addition, tools and meth-
ods to measure the strategic benefits of pollution
prevention, such as environmental accounting, are
greatly lacking. Some research also indicates that
there is a managerial bias towards threat avoidance.
This by itself means that opportunities such as
pollution prevention might not receive as much rec-
ognition as their potential benefits would imply. One
implication for managers wishing to implement pol-
lution prevention is that pollution prevention’s po-
tential as a threat avoidance tool, such as decreas-
ing Superfund disposal liability, may prove more
powerful than its opportunity characteristics.
The lack of opportunity recognition may result in
corporations failing to link pollution prevention and
strategic management. A model has been constructed
that relates corporate entrepreneurship and strate-
gic management. One is external environment, in-
cluding competitive, technological, social, and politi-
cal factors. A second is strategic leaders, values/
beliefs, and behavior. A third is organization con-
duct/form involving strategy, structure, process, and
core values/beliefs. A final influence is organization
performance, including effectiveness, efficiency, and
stakeholder satisfaction. The above analysis of the
corporate reports indicates that these variables rarely
exist in a form which promotes pollution prevention
entrepreneurship. Without a tie to strategic man-
agement, pollution prevention will remain at best an
add-on activity.
One of the greatest potential gains from pollution
prevention recognizes its potential as not only indi-
vidual ventures but as a form of corporate self-
renewal. There pollution prevention can be a corpo-
rate change agent. Implementing pollution prevention
requires the reconceptualization of the whole corpo-
rate approach to materials, energy, and water use as
well as to the central manufacturing processes. By
focusing on what enters and moves through the
corporate enterprise, managers improve the efficiency
and outcomes of these processes. By drawing on the
lessons of entrepreneurship, the corporation can
move towards realizing those potential significant
gains.
1.20 Plantwide Controllability and
Flowsheet Structure of Complex
Continuous Process Plants
A. J. Groenendijk, a Ph.D. student at the University
of Amsterdam, states that the material balance for
main components and impurities in a complex plant
is related to the plantwide properties of the compo-
nents inventory. His study is of the recycle loops in
the complex continuous plant. Steady-state and
dynamic simulation with controllability tools char-
acterize interactions between recycles to evaluate
plantwide control properties of different flowsheet
alternatives. He intends to do further work develop-
ing an algorithm for the design of an optimal flowsheet
and control structure where connectivity is a degree
of freedom. For this mixed integer non-linear pro-
gramming problem optimization techniques will be
used.
3D Design, 3D Chemical Plant Design
GB MM has produced 3D Chemical Plant Visualiza-
tion. Their 3D graphics have the ability to vary the
transparency of plant equipment to look inside (vari-
able transparency), view an object through 360 de-
grees (multiple viewpoints), analyze a pump working
from the outside to the inner workings (layer by
layer), etc.
1.21 Development of COMPAS
A computer-aided flowsheet design and analysis
system, COMPAS has been developed in order to
carry out the flowsheet calculation on the process
flow diagram of nuclear fuel reprocessing. All of the
equipment: dissolver, mixer-settler, etc. in the pro-
cess flowsheet diagram are graphically visualized as
icon on a bitmap display of a UNIX workstation. The
© 2000 by CRC Press LLC
flowsheet drawing was easily carried out by mouse
operation. Two examples show that the COMPAS is
applicable for deciding operating conditions of the
Purex process and for analyzing the extraction be-
havior in a mixer-settler extractor.
1.22 Computer-Aided Design of
Clean Processes
There are a very large number of possible alternative
processes for converting a defined raw material to a
desired product. There is vigorous research in the
development of computer-aids that can assist the
design process. Some of them can now contribute
effectively to assist the design process and contrib-
ute effectively to the generation of clean economic
processes. The computer-aided synthesis can have
optimization criteria (e.g., cost of effluent) and the
optimization can be constrained to forbid effluent
fluxes exceeding pre-defined levels. We are concerned
with the conceptual design rather than the detailed
mechanical design of individual components.
Design space is divided into four areas: Overall
Design, Discrete Synthesis, Superstructure Optimi-
zation and Subsystem Synthesis.
Overall Design is the space of all possible designs.
There cannot be a design method that can provide a
mathematical guarantee of optimality. We cannot
define all possible designs because we do not fully
know the objectives or the constraints. In this way,
one of the design objectives is to relax the con-
straints by discovering new catalysts, new reac-
tants, new extractants, new pieces of equipment,
and new products with the same or improved
functionality. These discoveries are dominated by
human innovation and have the greatest potential
for generating radically improved designs. Some
synthesis methods aim to stimulate innovation but
this area is the most difficult to automate.
Discrete Synthesis combines currently known
chemistry and operations in the most effective man-
ner. Generating novel designs necessitates going
beyond assembling a kit of standard operations. It
must look at the chemical and physical processes
that occur within the units to generate new opera-
tions that combine the known processes in cleaner,
more economic packages. The number of combina-
tions, even of the known unit operations that can be
presented to a synthesis program is very large. It is
greater than the bounds of any currently conceiv-
able technique to guarantee generating an optimal
combination, which also incorporates fully optimized
operating conditions. The computer methods do take
short cuts, while covering a very wide area, but give
a reasonable assurance that the results will be much
better than can be achieved by incremental evolu-
tion of previous plant designs. Methods applicable
include implicit enumeration (Dynamics, Program-
ming, Branch and Bound, etc.), psuedo-random
methods (genetic algorithms, simulated annealing
and mixed methods), Artificial Intelligence (AI), Fuzzy
AI, and incremental AI.
The problem is discretized, i.e., a finite number of
component flowrates, equipment sizes and operat-
ing conditions. Recursive formulation leads to a
Dynamic Programming approach. Every initial deci-
sion decomposes the overall process synthesis into
smaller problems each of which is similar to the
original in having defined inputs and outputs. A
finite number of possible streams, solutions to these
immediate problems can be recorded to give an
efficient overall optimization procedure. AI methods
use heuristic (provable) rules to enable design deci-
sions to be made sequentially without recursion.
Proper choice of the hierarchical sequence for deci-
sions minimizes coupling between successive deci-
sions, thus minimizing the penalty of omitting a
recursion. An alternative enhancement to AI is fuzzy
AI. There the AI rules are ranked by degree of belief.
The belief weightings are revised by matching against
detailed evaluation of the process synthesized and
the overall synthesis repeated until convergence of
ranking is achieved. There is also an evolutionary
application of AI in which an initially simple process
is augmented until the cost of further refinement
gives no further benefit.
Discrete Synthesis Designs can give rise to radical
departures from current practice so that experimen-
tal work may be necessary to validate the designs.
Superstructure Optimization is applicable when
the number of discrete alternatives is small. Then
the alternatives in the superstructure can be opti-
mized by rigorous methods such as Mixed-Integer
Non-Linear Programming (MINLP). Floudas and
Grossman make MINLP practical by tackling two of
the major aspects the limit its application, binary
variables and non-convexity. Binary variables cover
the selection/non-selection of units and the connec-
tions of streams between them; non-convexity gives
rise to multiple local optima and arises, for example,
as a consequence of the characteristic “economy of
scale” cost relationships.
Subsystem Synthesis is the optimal design of parts
of a process where the major features of the process
flowsheet are fixed. The fixed flowsheet limits the
options, yet significant benefits can be achieved. For
the heat exchanger networks, the pinch effect is
used and results in energy savings. Computerized
versions of the method are available, e.g., Advent
(from Aspen Technology, Inc.) and Super target (from
Linhoff March, Ltd). Alternative approaches using
© 2000 by CRC Press LLC
Mathematical Programming are also under develop-
ment, e.g., Johns and Williams. Also, saving energy,
on its own, has substantial environmental benefits
(less CO2 released, etc.).
Douglas and Stephanopoulos describe how their
AI structure can incorporate MINLP to give mutually
beneficial performance. They provide a human in-
terface to stimulate the introduction of human inno-
vation into the AI synthesis. Similarly, it has been
shown how implicit enumeration can allow an im-
possible step (i.e., not seen in the database) which,
if it radically improves the overall process, can stimu-
late the designer to devise a practical implementa-
tion of the step. Innovations can be incorporated
into any of the computer-based methods, to reduce
manual effort and give a greater assurance that the
innovations are being deployed most effectively. Ef-
ficient methods of predicting the optimal perfor-
mance of subsystems can also improve the efficiency
of either computer-based or manual methods of
whole-process synthesis.
All the computer-aids reviewed can incorporate
environmental constraints and criteria related to the
computed release rates of potentially harmful mate-
rials. There are only limited ways of incorporating
other environmentally important criteria into such
quantitative design objectives and other methods
are required to handle, for example, safety, start-up
and shut-down, and controllability. However, a po-
tential exists to automate a significant part of the
design process within the area that is automated,
there is a better guarantee of optimality. Significant
human design time can be released to concentrate
on the parts of the process that can only be tackled
by human insight and ingenuity.
Progress is possible in design under uncertainty.
Here many environmentally important factors are
unknown (e.g., properties of trace components).
Robust designs must operate reliably whatever the
actual values of these uncertain parameters may be.
In such cases, conventional design criteria have
been modified on a statistical basis. Uncertain out-
comes have been discretized through quadrature,
though neither allows the optimization to synthesize
radically different flowsheets.
Computer-aided procedures are in the develop-
ment stage. Some, however, are routinely used. When
a new process design, variant, or modification is
conceived, its performance needs to be evaluated.
Commercial tools for steady-state and dynamic pro-
cess flowsheet simulation exist. Their use in verify-
ing the performance of novel, potentially beneficial
processes pays even greater benefit than in studying
more traditional designs.
1.23 Computer-Aided Chemical
Process Design for P2
Chemical engineers do not always have tools to
facilitate the tasks of designing plants to generate as
little pollution as possible. The object of research is
to develop computer simulation tools for the design
and development of less polluting chemical manu-
facturing processes. Such tools can be used to mini-
mize the potential environmental impact of emis-
sions by designing and building entirely new plants,
modifying existing facilities or altering operating
conditions. This is to be done while keeping capital
and operating costs from increasing. Sophisticated
computer aided design methodologies for chemical
process simulators have progressed while simulta-
neously optimizing operating variables and cost. It
was stated, however, by the Environmental Chemi-
cal Engineering Lab at Seoul National University,
that no currently available computer simulation tool
is designed for minimizing pollution impact while
containing costs.
1.24 LIMN-The Flowsheet
Processor
LIMN adds a set of flowsheeting tools to the Microsoft
Excel 7 spreadsheet for Windows 95, greatly en-
hancing the value of spreadsheets to metallurgists
and process engineers. The process flowsheets built
into a spreadsheet has the ability to sketch rapidly
report quality flowsheets using a “flowsheet aware”
drawing package. It has an extensive process unit
icon library, block diagram option, easy addition of
user drawn custom icons. The data is stored inter-
nally within the spreadsheet. It has an WYSIWYG
presentation.
1.25 Integrated Synthesis and
Analysis of Chemical Process
Designs Using Heuristics in the
Context of Pollution Prevention
Process modification identification and comparison
is not consistently practiced for pollution preven-
tion, particularly during conceptual design. P2TCP
(Pollution Prevention Tool for Continuous Processes)
is a computer-based system developed to help de-
signers identify pollution prevention opportunities.
It can be used for continuous chemical processes as
well as conceptual and retrofit design and can help
in the development of cleaner processes. Case stud-
ies are used to validate P2TCP and to identify further
extensions, not at the principal knowledge source.
P2TCP is a novel design approach. It is not like
hierarchical or step-wise design techniques; heuris-
© 2000 by CRC Press LLC
tics (knowledge based rules) are used to analyze
each system of a chemical process (reaction and
separation) independently for potential alternatives.
Effects associated with the interacting streams, i.e.,
streams leaving the interacting streams and poten-
tial recycles, are then taken into consideration to
further reduce the number of options requiring con-
sideration. The effectiveness of this heuristic ap-
proach has been demonstrated in a number of pol-
lution prevention case studies. Unlike hierarchical
techniques, it is theoretically possible to consider all
alternatives. Furthermore, the case studies demon-
strate that the number of design alternatives requir-
ing consideration is not prohibitive.
1.26 Model-Based Environmental
Sensitivity Analysis for Designing
a Clean Process Plant
Process integration is now more employed for the
reduction of energy and material costs, and more
recently, the minimization of waste. Process streams
are heavily interacted among units in an integrated
process plant. This has led to various operational
problems due to newly introduced severe distur-
bance propagation in the system. Industrial practice
has also shown that if the disturbance variables are
environmentally sensitive, then the operational prob-
lems will become environmental problems. These
environmental problems usually cannot be resolved
through control design. Needless to say, they should
be prevented during process design. This renders
the design to be not only cost-effective, but also
environmentally benign in terms of effectively reject-
ing environmentally sensitive disturbance propaga-
tion through a process system. We propose a mode-
based system sensitivity analysis approach for
developing an environmentally benign process. One
of the fundamental elements of the approach is the
waste generation/propagation models for different
types of process operations, such as reaction, distil-
lation, extraction, adsorption, and heat exchange
operations. Those models characterize system re-
sponses to environmentally sensitive disturbances
and fluctuations. The models are first principles
based, but simplified in linear form. Thus they can
be easily embedded into a process design procedure.
In addition, a model-based waste minimization in-
dex for evaluating the cleanness of a process design
was introduced. Thus, every design decision will be
evaluated not only by cost constraints, but also by
waste reduction requirements. The approach pro-
vides a useful tool for process designers to perform
effective sensitivity analysis of process alternatives,
to identify any inappropriate connections among
process units, to quantify the severity of environ-
mental impact of the design. This will greatly facili-
tate designers to derive improved process systems.
The applicability of the approach to solve real-world
problems is demonstrated by analyzing an indus-
trial process where reactors, distillations, extrac-
tion, and heat integration occur. The resultant pro-
cess will reduce waste by 10% by restructuring the
topology of the system, and by introducing appropri-
ate recycling.
1.27 Achievement of Emission
Limits Using Physical Insights and
Mathematical Modeling
Gaseous emissions are produced in all chemical
processes from the generation of utilities. There are
many ways to minimize gaseous emissions. They are
changes to heat recovery in process, changes in the
configuration of the existing steam turbine network,
process changes, use of different fuel used in the
boilers/furnaces, integration of gas turbine, instal-
lation of low NOx burners, and EOP techniques.
Here we show a method to integrate the different
flue gas minimization techniques for an existing site.
The objective of this problem is to minimize the
capital investment to achieve the required emission
limits. The approach to the problem is divided into
three steps: setting targets, screening of options,
and optimization. The first step utilizes the differ-
ence between the limits and current operation of
turbines and boilers. Depending on the efficiency of
the equipment, savings in utilities are converted into
a targeting curve using different paths. The screen-
ing of options is done in two parts. The first part
consists of generation of different options: heat re-
covery, fuel switch, gas turbine integration, and
change in the process. The second part eliminates
the uneconomic options using the targeting curve
generated in the first step. The options left after
screening the existing system are then formulated in
a maximal superstructure of a MILP. The structure
is then subjected to optimization. This gives the
maximum capital required to achieve the emission
limits. The proposed hierarchical method is a simul-
taneous approach to the problem. Physical insights
are used higher in the hierarchy to understand the
problem. This generates a smaller size of the super-
structure. The understanding of the problem also
gives bounds on different variables, which reduces
the solution space. Thus any problem can be easily
solved using existing optimization techniques. More-
over it has been shown by several case studies that
it is possible to satisfy emission limits and make
annual savings at the same time.
© 2000 by CRC Press LLC
1.28 Fritjof Capra’s Foreword to
Upsizing
Upsizing is the latest book by Gunther Pauli, and
Fritjof Capra has written a foreword to it. It states
that we must redesign our businesses and indus-
tries so that the waste of one industry will be a
resource for the next. These industries need to be
clustered geographically so that they are embedded
in an “ecology of organizations” in which the waste
of any one organization would be the resource of
another. In such a sustainable industrial system,
the total outflow of each organization — its products
and wastes — would be perceived and treated as
resources cycling through the system.
Ecological clusters of industries exist in several
parts of the world under auspices of ZERI — the
Zero Emissions Research Initiative. Recently new
mathematics has helped with the complexity of liv-
ing systems and the understanding of the basic
characteristics of life. The simplest living bacterial
cell is a highly intricate network involving literally
thousands of interdependent chemical reactions. A
characteristic of the new mathematics is that it is
non-linear. Now powerful computers have helped us
understand that the surprising patterns underneath
the seemingly chaotic behavior of non-linear sys-
tems. They show an underlying order beneath the
seeming chaos. Chaos theory is really a theory of
order, but a new kind of order that is revealed by the
mathematics of complexity. The emerging science of
complexity has brought many new insights into the
patterns and processes of organization of living sys-
tems, which are crucial to understanding the prin-
ciples of ecology and to building sustainable human
communities. The emerging theory of living systems,
including the new science of complexity, is relevant
to three distinct but gradually coalescing areas of
concern: (1) the endeavor of creating and nurturing
the sustainable human communities; (2) the tasks
of understanding our present technological com-
plexities and of redesigning our technologies so as to
make them ecologically sustainable; and (3) the
challenge of carrying out the profound organiza-
tional changes required by the first two areas of
concern.
1.29 ZERI Theory
Zero emissions represents a shift in our concept of
industry away from that in which wastes are consid-
ered the norm, to integrated systems in which it has
its use. Zero emissions envisages all industrial in-
puts being used in the final product converted into
value-added inputs for other industries or processes.
Here industries will reorganize into “clusters” such
that each industry’s wastes/products are fully
matched with others’ input requirements, and the
total set of factories produces no waste of any kind.
This will amount to a standard of efficiency with
Total Quality Management (zero defects). The meth-
odology can be applied to any industry and can be
summarized as follows:
1. Total throughput.
2. Output-Input Models: An inventory of all
“wastes” not consumed in the final product or
its process of manufacture. Then an identifica-
tion of industries that can use the outputs or
modifications of them.
3. Identification of potential candidates for clus-
tering, optimized as to size and number of par-
ticipating industries.
4. Where economic coupling is difficult, and re-
search into proper system design.
5. Design of appropriate government policies.
6. Additional information channel for ZERI design
with global dialogues.
1.30 SRI’s Novel Chemical Reactor
— PERMIX
This reactor improves the ratio of desired product to
waste product by a factor of 20 over comparable
technology. In addition to reducing or eliminating
waste disposal and increasing product quality, the
technology also increases yields and thus decreases
the cost of raw materials. This is an exothermic
process with porous means to control reaction rate
and exothermic heat (U.S. Patent No. 5,583,240).
The new reactor uses the progressive addition of one
reactant permeating all along the reactor and mixing
in the entire volume of the reactor to minimize or
eliminate local high concentration gradients and hot
spots as well as to control the ratio of reactants as
the reaction proceeds. The mixing elements, cata-
lyzed or inert, are a key to the improved performance
of the new reactor. In the liquid phase where the
flows are laminar, particulate mixing elements change
the mass transport from molecular diffusion to con-
vective diffusion, increasing it by a factor of 100,000.
In the gas phase, the transport is increased by a
factor of 100 and the flow is highly turbulent, which
reduces the scale of mixing by turbulent eddies to a
much smaller scale than the mixing element dimen-
sions. These order-of-magnitude improvements in
transport can be used to control the ratios of reac-
tants and products and therefore decrease waste
products and increase yields. The most economic
method for heat of reaction removal is adiabatic
reactor operation for incremental conversion followed
by heat removal in a conventional heat exchanger.
© 2000 by CRC Press LLC
1.31 Process Simulation Widens
the Appeal of Batch
Chromatography
Batch chromatography and SMB (Simulated Moving
Bed) chromatography has selective value for purify-
ing or recovering certain high-value biomolecules,
and in processing fine chemicals and foodstuffs.
Developing optimal processing schemes, however,
tends to be timely and expensive because elaborate
testing is necessary. Process simulation technology
is now available to significantly expedite the devel-
opment of new applications, or the optimization of
existing ones. It consists of injection of the feed
mixture to be separated into a packed column of
adsorbent particles, through which there is a con-
tinuous flow of a mobile phase. Chromatographic
separation involves a lower use of energy than other
separation techniques, such as distillation. Further-
more, liquid chromatography is often performed at
room temperature, thus preventing loss of activity of
heat-sensitive components such as occurs in some
industries.
At DuPont, in the late Fifties and early Sixties, I
conceived of using the Wenograd apparatus, (a con-
denser discharging into a hypodermic needle, con-
taining a test chemical mixture, that discharged its
contents into a chromatograph). Dr. Wenograd used
it to test hazardous materials such as explosives,
thus to replace such tests as “the Drop Test.” I
thought it might help test for hazardous pollution
by-products, but it was never actuated.
1.32 About Pollution Prevention
P2 opportunities can be identified by the industry
sector, product, or production process that is re-
lated to your business. It can be accomplished by
any of the five methods below:
1. Product Design/Material Selection — Product
design is a process of synthesis in which prod-
uct attributes such as cost, performance,
manufacturability, safety, and consumer ap-
peal are considered together. Product design for
P2 incorporates environmental objectives with
minimum loss to the product’s performance,
useful life, or functionality.
2. Process Design — Process designers consider
production attributes such as cost productivity,
end-part manufacturability, and operator safety
when designing a production process. Process
design for P2 incorporates environmental objec-
tives with minimum loss to the production pro-
cess, stability, and productivity in particular.
3. Process Improvement/Material Substitution —
Production process improvements for P2 are
 considered after the process equipment is al-
ready in place. Although this continuous method
of improvement yields varying degrees of suc-
cess, it is a viable option to incorporate P2 into
an already existing process.
4. Energy Conservation — Energy Conservation
minimizes poor plant emissions through the
efficient use of energy in the production process
by minimizing pollution offsite at the power
plant.
5. Environmental Management System — Envi-
ronmental management systems identify P2
opportunities in order to implement one of the
above P2 methods.
November 16, 1994, the United States Environmen-
tal Protection Agency released a report entitled “The
Waste Minimization National Plan”. This plan estab-
lishes three goals.
1. To reduce, as a nation, the presence of the most
persistent, bioaccumulative, and toxic constitu-
ents by 25% by the year 2000 and by 50% by
the year 2005.
2. To avoid transferring these constituents across
environmental media.
3. To ensure that these constituents are reduced
at their source whenever possible, or, when not
possible, that they are recycled in an environ-
mentally sound manner.
1.33 Federal Register/Vol. 62, No.
120/Monday, June 23, 1997/
Notices/33868
This plan presented a combination of five objectives
of voluntary, regulatory, and institutional mecha-
nisms to achieve these objectives. They were:
1. Develop a framework for setting national priori-
ties; develop a flexible screening tool for identi-
fying priorities at individual facilities; identify
constituents of concern.
2. Promote multimedia environmental benefits and
prevent cross-media transfers.
3. Demonstrate a strong preference for source re-
duction; shift attention to the nation’s hazard-
ous waste generators to reduce hazardous waste
generation at its source.
4. Clearly define and track progress; promote ac-
countability for EPA, states, and industry.
5. Involve citizens in waste minimization imple-
mentation decisions.
EPA promised to help in such ways as using the
results from the prototype screening approach to set
© 2000 by CRC Press LLC
priorities for metals and proposing guidance to en-
courage the implementation of multimedia pollution
prevention programs at all facilities. In addition EPA
would implement several voluntary mechanisms,
including:
1. Promoting focused technical assistance to small-
and medium-sized generators of constituents of
concern.
2. Developing outreach and communication mecha-
nisms.
3. Providing guidance to states on incorporating
waste minimization in hazardous waste man-
agement planning.
EPA would implement several mechanisms within
the RCRA REGULATORY framework including:
1. Developing a program for working with genera-
tors to promote waste minimization.
2. Issuing revised guidance on the use of Supple-
mental Environmental Projects (SEPs).
3. Working with EPA Regions and states to provide
waste minimization training for inspectors, per-
mit writers, and enforcement officials.
There are also a number of Institutional Mecha-
nisms that are not cited here. However, the report
ends with the statement that EPA will publish guid-
ance to regions, states, and industry, identifying
when and how waste minimization information
should be made available to the public during the
permit process.
1.34 EPA Environmental Fact
Sheet, EPA Releases RCRA Waste
Minimization PBT Chemical List
States, industry environmental groups, and citizens
advised EPA in 1994 that waste minimization should
consist of the following:
Reduce as a nation the presence of the most persis-
tent, bioaccumulative, and toxic chemicals in
industrial hazardous wastes by 25 percent by
the year 2000 and by 50 percent by the year
2005.
Avoid transferring these chemicals across environ-
mental media.
Ensure that these chemicals are reduced at their
source whenever possible, or, when not pos-
sible, that they are recycled in an environmen-
tally sound manner.
To address these recommendations, EPA first de-
veloped the Waste Minimization Prioritization Tool,
which scores thousands of chemicals based on their
mass generated, persistence, bioaccumulation, and
toxicity. EPA then identified the chemicals of great-
est concern to the RCRA program on a national
basis — those chemicals that are very persistent,
bioaccumulative, and toxic; are generated in largest
volumes or by many facilities; are present in soils
and sediments; and are hard to manage, clean up,
or pose other RCRA concerns. The proposed RCRA
PBT List contains 53 chemicals that ranked highest
for these factors from a national perspective. EPA
recognizes that other PBT chemicals may be identi-
fied as priorities by regional, state, or local organi-
zations or companies, and encourages coordinated
efforts to address the reduction of those chemicals
as well.
The Clinton Administration, the Environmental
Defense Fund (EDF), and the Chemical Manufactur-
ers Association (CMA) jointly announced a six-year
program to test 2,800 compounds, major industrial
chemicals, for their health and environmental ef-
fects.
The unprecedented, cooperative program covers
U.S. high-production chemicals, each produced or
imported in a volume of more than 1 million pounds
per year. All tests are to be completed by the year
2004. Industry’s estimated cost of the tested pro-
gram is between $500 million and $700 million.
Under the announced program, chemical manu-
facturers will have 13 months to volunteer their
products for testing, after which EPA will order tests
for the chemicals that have not been volunteered.
EDF will monitor testing process and provide free
on-line information to the public via the Internet, on
a chemical-by-chemical and company-by-company
basis.
1.35 ATSDR
The Agency for Toxic Substances and Disease Reg-
istry is an agency of the U.S. Department of Health
and Human Services. It has the mission to prevent
exposure and adverse human health effects and
diminished quality of life associated with exposure
to hazardous substances from waste sites, unplanned
releases, and other sources of pollution present in
the environment. Directed by congressional man-
date, it is to perform specific functions concerning
the effect on public health of hazardous substances
in the environment. These functions include public
health assessments of waste sites, health consulta-
tions concerning specific hazardous substances,
health surveillance and registries, response to emer-
gency releases of hazardous substances, applied
research in support of public health assessments,
information development and dissemination, and
education and training concerning hazardous sub-
stances.
© 2000 by CRC Press LLC
1.36 OSHA Software/Advisors
Some software available from OSHA includes:
Hazard Awareness
Lead in Construction
Logging Technical
Safety Pays
Silica Technical
Respiratory Protection Technical
Asbestos 2.0
Confined Spaces 1.1
Online Confined Spaces 1.1
Fire Safety
GOCAD
Best I. T. Practices in the Federal Government
elaws
1.37 Environmental Monitoring for
Public Access and Community
Tracking
Introduction
The purpose is to solicit applications under the
Environmental Monitoring for Public Access and
Community Tracking (EMPACT) Grants Program
sponsored by the US EPA.
EPA has a competition for grants in 1999. The goal
of EMPACT is to assist communities to provide sus-
tainable public access to environmental monitoring
data and information that are clearly communi-
cated, time relevant, useful, and accurate in the
largest U.S. metropolitan areas. Environmental
monitoring consists of the systematic measurement,
evaluation, and communication of physical, chemi-
cal, and/or biological information intended to give
insight into environmental conditions. EMPACT seeks
to assist the American public in day-to-day decision-
making about their health and the environment.
Pilot programs will be established in a limited
number of eligible cities with grant awards. The pilot
programs will emphasize using advanced and inno-
vative technologies to monitor environmental condi-
tions and provide and communicate environmental
information to citizens. The pilots also require effec-
tive partnerships between local and state govern-
ments, research institutions non-governmental or-
ganizations, the private sector, and/or the Federal
Government to provide timely environmental infor-
mation to the public. It is essential that data and
information derived from EMPACT monitoring ac-
tivities be disseminated using terminology and for-
mat that are clearly understandable, relevant, and
credible to the lay public.
1.38 Health: The Scorecard that
Hit a Home Run
The EDF’s Chemical Scorecard web site yields, in-
stantly, information about the health effects of chemi-
cal emissions from 17,000 industrial facilities. The
Scorecard was developed in consultation with
grassroots groups who will use the information to
monitor and improve their local environments.
When a user types his or her zip code, neighbor-
hood maps appear on the screen, with schools and
industrial facilities marked. Users see what chemi-
cals are released and can find out which are the
most toxic. Because the Scorecard puts a spotlight
on toxic emissions, it encourages companies to ex-
pedite emissions reductions.
1.39 Screening and Testing for
Endocrine Disrupters
Reproductive abnormalities in wildlife, increasing
breast cancer in women, and decreasing sperm
counts in men may have a common link. Many
believe that pesticides and other chemicals that dis-
rupt the endocrine system are the underlying thread.
However, analytical methods for testing the endo-
crine disrupters are scarce. EDSTAC (the Endocrine
Screening and Testing Advisory Committee) char-
tered to help EPA is underway. QSAR work is also
being used to aid the process. There is a compilation
of searchable, up-to-date inventory of research by
the federal government that is also available.
1.40 Reducing Risk
An analog formulation, in its most simple form, is
used to express toxicity for six mammals and eight
chemical species. General control theory is discussed
and the system transfer function is shown to be
similar to the analogue toxicity equation. Also gen-
eral kinetic equations of Lotka are of this nature.
Electrical network equations can be solved for LC50/
100 for man and animals in a more complex system
by the network systems model of the environment.
By analogy then, the system can be controlled by
feedback control or any of a dozen methods to re-
duce the overall LC50/100 of the ecological popula-
tion, at any site, by reducing the emissions of spe-
cific chemicals to a site whose ecological nature is
known.
Introduction
While studying risk and toxicology of small mam-
mals for the ecological impact on various Superfund
sites, it was discovered that the use of simple ana-
logue techniques led to an acceptable description of
© 2000 by CRC Press LLC
the data for several species. Encouraged by this,
further general electrical (and mechanical) analogues
revealed specific exponential and algebraic equa-
tions, with parameters that could be fitted to labo-
ratory and field data and whose general form occurs
in books and papers with actual experimental eco-
logical field data and did fit the data quite well.
When the analog method was joined with network
theory [1], control theory [1-5], system theory [6],
chemical kinetics [7], operational (e.g., LaPlace trans-
form) methods [1-6], order -disorder techniques
[10,11], system techniques used in medicine [10],
and catastrophe theory [11], then powerful tech-
niques for planning the control of pollution, as well
as describing its impact and the exact nature of its
character to man as well as animals became evident.
Mathematical Ecotoxicity
This section introduces the broad outline of the
concepts of characterization of the mathematical
character of ecotoxicity and its control with several
descriptions of applications.
The simple electrical analog first used is
I(t) = (1 - esp - (R/L)t) (1)
where E is e. m. f., R is resistance, L is inductance
and t is time. An analogue was used by setting R
equivalent to k, L equivalent to m and E equivalent
to p’, where k is the toxicological reference concen-
tration, m is the mass, and p’ is the physiological
factor for the organism in question. This equation is
also found in mechanical or viscoelastic behavior
[12]. Also, I(t) = LC50/100. Then,
LC50/100 = p’/k(1 - exp - (kmt)) = p’/k(f(t)). (2)
In practice, when t is very large, the function of t, (1-
exp(k/mt)), is equivalent to unity and an additive
constant, C, is added so that
LC50/100 = p’/k + C. (3)
Then each animal has a different physiological fac-
tor p’, each chemical has a different value of k, and
when LC50/100 = y is plotted vs. 1/k = x, then the
experimental data fall on a straight line with slope p’
and intercept C (Figure 1). The eight chemicals used
to plot Figure 1 were vinyl chloride, xylene, acrolein,
formaldehyde, benzene, styrene, epichlorohydrin, and
chlorobenzene. The data was extended to the horse
with data from the University of Pennsylvania Vet-
erinary School and found to fit logically on the simple
graphs.
The more rigorous derivation leads to an expres-
sion with hyperbolic trigonometric functions as well
as exponential functions and is non-linear, bending
towards the abscissa at higher values of 1/k. It is
this expression that should be used for very toxic
substances, such as “dioxin”.
Control Theory
Then, describing control [3] as
Initial Conditions
input(u) → System → output(y)
and P(D) . y(t) = Q(D) . u(t), and calling
g(s) = Q(s)/P(s)
the system transfer function,
u(s) → g(s) → y(s) (4)
where s is a complex variable, D = d/dt and P(D) and
Q(D) are polynomials. It is then true that the paral-
lel, series, and feedback configurations can be rep-
resented as equations 5, 6, and 7, respectively.
g(s) = g1(s) + g2(s) + — gm(s) (5)
g(s) = g1(s)g2(s) + — gm(s) (6)
g(s) = g1(s)/(1 + g1(s) + g2(s)) (7)
and Figures 2, 3, and 4, respectively.
The Transfer Function
The Laplace transform equation (4) is an algebraic
function and can be expanded in a partial fraction
expansion. The zeros of the P(s) are the poles of g(s)
and may be real or complex conjugate pairs. They
may be simple or multiple. The general form of the
expansion [1,3,6] is
g(s) = Q(s)/P(s) = a0+a1s + as2 + — +
A1/(s – s1) + — +a2/(s – s2) +
Ap2/(s – sp2)2 + —Apr/(s – spr)r. (8)
The inverse transform is then
g(t) = a0u1(t) + a1u2(t) + a2u3(t) + — + A1exp(s1t) +
A2exp(s2t) + — + Apr/(r-1)!tr-1exp(spt)(–1)r–1 (9)
where u is the unit step function. In this connection,
it is noted in a text on ecotoxicity that a function
such as
LC50/100 = aexp(kt) + aexp(kt) + — (10)
© 2000 by CRC Press LLC
fits the data for selected chemicals and animals very
well.
In Bumble and Honig [8] and Bumble [9], various
applications of order-disorder theory to various physi-
cal phenomena, a lattice approach and states of
occupation of the vertices and neighbor itneractions
were proposed. It was found that the ratio of prob-
abilities of the unoccupied basic figure could be
expressed as the ratio of polynomials, and if the
lateral interactions were very small, as a series in
one variable which would rapidly converge when the
variable was very small.
g(s) = (a0pm + a1pm-1 + — am)/(b0pn + b1pn–1 + — bn)
(11)
This leads to [8] and [9] in many cases. It also
indicates that there may be a critical value for the
transfer function of value in controlling pollution
cases by analogy to order-disorder work. The Grand
Canonical Ensemble of a space-time lattice in three
dimensions in its various states of occupation can
then be thought of as a model for the toxic compo-
nents traveling into the biological system.
A Boolean, or an on-off idealization captures the
main features of many continuous dynamic sys-
tems. Many cellular and biochemical processes ex-
hibit a response which follows an S-shaped, or sig-
moidal curve as a function of altered levels of some
molecular input. Even a function whose maximum
slope is less than vertical (e.g., coupled systems
governed by such signoidal functions) are often prop-
erly idealized by on-off systems. Over iterations,
feedback of signals through a sigmoidal function
tends to sharpen to an all-or-nothing response. A
biological rate equation dependent on the Hill func-
tion law can lead to
x = (k1/k–1)(1–exp(–(k–1)(t))) (12)
where k1 is the rate equation in the forward reaction
and k–1 is that in the reverse directgion. This regu-
lation endows biological systems with the possibility
to choose between two or more well distinct states of
regime. This, characterized by multiple steady states,
is epigenetic. It is ensured by feedback loops.
Networks and Ecosystems
In [14], Lotka proposes general kinetic equations
that lead to similar results (17) as (9) or (9a). If X is
mass, and excess xi of each mass X over correspond-
ing equilibrium values is
x i = Xi – C i (13)
 dXi/dt = Fi(X1, X2, — Xn, P, Q) (14)
where F is equal to growth of any component, depen-
dent on the others and the parameters P and Q.
Then
dxi/dt = f(x1, x2, — xn), (15)
and using Taylor’s theorem, we obtain
dx1/dt = a11x1 + a12x2 + — a1nxn +
a111x12 + a112x1x2 + a122x22 + —
dx2/dt = a21x1 + a22x2 + — a2nxn +
a211x12 + a212x1x2 + a222x22 + —
… … (16)
dxn/dt = an1x1 + an2x2 + — annxn +
an11x12 + an12x1x2 + an22x22 + —
A general solution is
x1 = G11exp(m1t) + G12exp(m2t) + —
G1nexp(mnt) + G111exp(2m1t) + —
x2 = G21exp(m1t) + G22exp(m2t) + —
G2nexp(mnt) + G221exp(2m1t) + — (17)
… …
xn = Gn1exp(m1t) + Gn2exp(m2t) + —
Gnnexp(mnt) + Gn11exp(2m1t) + —
Now the Gs are constants (n arbitrary) and m1—
mn are n roots of the equation for m.
a11 – m[[[a12 — a1n
a21[[[a22 – m —a2n = ∆ = 0 (18)
an1[[[an2 — ann – m
If some of G are positive and some are negative,
then oscillations may occur. If the roots m are com-
plex, exp (a + ib)t = exp(at)(cosbt + isinbt), and there
are damped oscillations about equilibrium.
Consider a general type of network [15] made up
of m independent circuits. Each circuit contains an
e.m.f., resistances, inductances and capacitances,
then each circuit current will flow. Letting zjk(p) be
the operator acting on Ik in the jth equation
zjk = Ljkp + Rjk + 1/(Cjkp), then (19)
© 2000 by CRC Press LLC
z11(p)I1 + z12(p)I2 + — + zlm(p)Im =
p(L11I10 + L12I20 + — + L1mIm0) + E11
z21(p)I1 + z22(p)I2 + — + z2m(p)Im =
p(L21I10 + L22I20 + — + L2mIm0) + E22 (20)
… …
zm1(p)I1 + zm2(p)I2 + — + zmm(p)Im =
p(Lm1I10 + Lm2I20 + — + LmmIm0) + Emm
At t = 0, Ik = 0, (k = 1, 2, — m) and the right
parentheses are all zero, and all E on the right are
zero except E11 = E(t), as a single e.m.f. will produce
the same effect as if all others were operating. Then,
Ik = (M1K(p)/∆(p))E(t) (21)
where p is the determinant, M1K(p) is the cofactor
(–1)k-1 times the minor of zik(p).
z11(p)[[[[[[z12(p)[[[[[[z1m(p)
z21(p)[[[[[[z22(p)[[[[[[z2m(p) (22)
zm1(p)[[[[[[zm2(p)[[[[[[zmm(p)
If E(t) is a function of t,
Ik(t) = E(0)A1k(t) + ∫0tA1K(t – 2)E’(z)dz. (23)
Consider LdA/dt + RA = 1 (24)
A(t) = 1/R(1 – exp(-Rt/L)). (25)
Then 1 = 1/R (1-exp(R(t-z)/L))E0wcoswzdz (26)
1 = (E0/(R2+L2w2))(Rsinwt -
Lwcoswt + Lwexp(-Rt/L)). (27)
Solution of the equation,
LdI/dt+RI = E0sinwt (28)
would also lead to (27( for I(o) = 0)). (Figure 5 shows
a simple series circuit).
It is now seen that if we designate R = k, L = m, E
= p’, etc., by analogy, we can solve (18) and (21) for
an ecological or anthropomorphic system and we
will obtain LC50/100 for man and other mammals
in a more complex system than shown in (2) by the
network systems model of the environment.
Feedback Loops and the Environment
There have been applications in medicine [10] that
are similar to the analogue results, such as the
equation relating the rate of erythropoietin release,
concentration in the blood plasma, etc. Also, models
of respiratory control do correspond as examples.
The polynomials of the functions form minimums
that are equilibrium states and are a surface (mani-
fold) in n + k dimensional space, where n is the
dimension of the state and k is the dimension of the
control state. The behavior of the system is de-
scribed by a trajectory on the manifold. The canoni-
cal polynomial form
f(x) = xm+u1xm-2+u2xm-3+—u(n-2)x
represents the universal unfolding of singularities.
Regions of more than one solution represent cata-
strophic [11] separation and are seen as jumps to
another branch.
Optimizing Environmental Quality
Once the analog has been made between the physi-
cal and biological cases and a mathematical fit for
the ecotoxic function is present, it can be ascer-
tained whether the toxic limit is exceeded for man
[16] and every other animal that may be present in
the area of assessment. When remediation is neces-
sary, control steps can be used for the system and
the control design can alleviate the environmental
impact on man and the ecology [17]. These steps can
be made prior to the building of the plant, or after-
wards as a retrofit, if necessary.
Various kinds of control, such as cascade, feed-
forward, adaptive, proportional, integral or reset,
derivative or rate, bang bang, epidemic, impulsive,
singular and profit are examples and various com-
binations of these controls are used today. It is
realized that the control systems can be both char-
acterized and optimized by mathematical techniques
to yield optimal feedback systems for man and the
ecology. There are two types of feedback control
systems. The first type is called a regulator, whose
function is to keep the output or controlled variable
constant in the face of load variations, parameter
changes, etc. The second type is the servomecha-
nism, whose inputs are time-varying. The function
of a servomechanism is to provide a one-to-one cor-
respondence between input and output. The system
speed of response is another important consider-
ation in feedback control systems. Information about
response time can be gained from the frequency-
response characteristic of the system.
© 2000 by CRC Press LLC
Stability of the system is important. Thus, if any
perturbation of the system occurs, the effect on the
system should be transitory, with the system ulti-
mately coming to rest. Nyquist has made use of
contour mapping methods in the analysis of stability
and this has been used for many years as an impor-
tant technique in the analysis of stability of linear
servomechanisms and regulating systems. Satche
[19] extended the use of contour integration to sys-
tems with simple time delays. It is procedures such
as these that can lead to the prevention of such
pollution catastrophes as did occur at Bhopal.
Now that the system is characterized, analyzed,
analogized and [20,21,22] solved mathematically, it
can be optimized using calculus of variations, filter,
control and predictor methods, dynamic program-
ming methods, automatic control and the Pontryagin
[21,22] Principle, linear and non-linear Prediction
Theory, in addition to newer methods [22-27]. Then
the system can be converted back to the original
ecosystem to plan or direct the prevention or mini-
mization of pollution to the ecosystem. Sensitivity
analysis [21] can also be used to determine the
specific influence of the parameters on the system
process, so that steps can be taken to bring it into
synchronization with the goals of reducing risk op-
timally.
Applications
The following smattering of examples merely indi-
cate applications of control to pollution problems.
1. The theory of the optimal control of systems
with Markov jump disturbances to the control
of industrial processes with stages subject to
breakdown leads to explicit analytic solutions
(Figures 5a and 5b, where U = processors). In
more complicated examples where an analytic
solution is not tractable, the Markov Decision
Process approach can provide an attractive
method of solution [26a].
2. Multipass systems describe processes in which
the material or workpiece involved is processed
by a sequence of passes of the processing tool,
e.g., longwall coal cutting. Sufficient conditions
can be obtained so that an arbitrary initial start
on the first pass can be steered to within an
arbitrary small neighborhood of a desired state
on some subsequent pass [26b].
3. Based on the state equations of bilinear distrib-
uted parameter systems, one can use indepen-
dent linear and bilinear control variables. This
method applied to the control of a simplified
model of a continuous kiln (Figure 6), reduces
rise time, overshoot and settling time of the
reference response. This has also been obtained
 in various types of disturbances acting on the
plant [26c].
where xe = [1-exp(-a/(Ve)2)]Ue, U and V are control
vectors, a is a constant, and e is equilibrium.
All of the above examples serve not only as process
control illustrations but also as pollution control
illustrations and merely scratch the surface of a
plethora of applications to pollution minimization in
many industries.
Reference [29] shows many cases for applications.
Three examples are described below. Evolution strat-
egy [29a] starts with a set of realizations of the
system which mutate and lead to a new set. Only the
best members of both sets, measured by a certain
quality criterion, survive as the new generation.
Reference [29b] tells of a hybrid computer and deter-
mination of drug dosage regimens in individual pa-
tients. The system consists of an analog computer
and a digital computer, linked by three interfaces.
Reference [29c] (designated and demonstrated) uses
low grade thermal energy for commercial power pro-
duction facilities in a hybrid methane generation
plant.
Each of the above systems, or all of them together,
can be used in the overall system design outlined in
this chapter.
Computer Simulation, Modeling and
Control of Environmental Quality
A powerful program called “Envirochemkin” is being
used (for pollution abatement services together with
its subsidiary programs (such as “Therm”, etc.) which
will aid and abet the program described as a control-
ler to bring systems or plants into the optimum
mode for pollution prevention or minimization. Self-
optimizing or adaptive control systems can be devel-
oped now. These consist of three parts: the defini-
tion of optimum conditions of operation (or
performance), the comparison of the actual perfor-
mance with the desired performance and the adjust-
ment of system parameters by closed-loop operation
to drive the actual performance toward the desired
performance [30]. The first definition will be made
through a regulatory agency requiring compliance;
the latter two by a program such as Envirochemkin.
Further developments that are now in force include
learning systems as well as adaptive systems. The
adaptive system modifies itself in the face of a new
environment so as to optimize performance. A learn-
ing system is, however, designed to recognize famil-
iar features and patterns in a situation and then,
from its past experience or learned behavior, reacts
in an optimum manner. Thus the former empha-
sizes reacting to a new situation and the latter em-
phasizes remembering and recognizing old situa-
© 2000 by CRC Press LLC
tions. Both attributes are contained in the “mecha-
nism” of Envirochemkin.
Envirochemkin can also use the Artificial Intelli-
gence technique of “backward chaining” to control
chemical processes to prevent pollution while maxi-
mizing profit during computation. To do this time is
considered as negative in the computation and the
computations are made backward in time to see
what former conditions should be in order to reach
the present desired stage of minimum pollution and
maximum profit. Then the amount of each starting
species, the choice of each starting species, the
process temperature and pressure and the mode of
the process (adiabatic, isothermal, fixed tempera-
ture profile with time, etc.) and associated chemical
reaction equations (mechanism) are chosen so as to
minimize pollution and maximize profit. Pilot runs
have already been performed to measure the suc-
cess of this procedure.
Conclusions
A simple analytic expression is derived for toxicity
for ecosystems using analogues between systems
found in physics and engineering and data for man.
This is compared with the literature. Control theory
from Electrical Engineering is discussed as impor-
tant to Environmental Systems. The Transfer Sys-
tem, Networks, and Feedback Loops are some of the
more important concepts to understand in the appli-
cations to the Environment. Methods for optimizing
Environmental Quality are described and some ap-
plications that are very prone to applying Simulation
and Control to Environmental Systems are discussed.
A particular Computer Simulation Modeling System
with Control Applications to the environment and
Ecosystem is described briefly.
1.41 Risk: A Human Science
On February 1, 1994, a flammable, corrosive, and
toxic solution escaped from a corroded pump con-
nection at Associated Octel’s ethyl chloride manu-
facturing plant at Ellesmere Poet. A dense cloud of
toxic gas formed, which first enveloped the plant
and then began to move away from the site. Despite
the efforts of the on-site emergency services to iso-
late the leak and to stop the gas from spreading, the
ethyl chloride collected into a pool and then caught
fire.
One employee and 17 firefighters were injured in
the blaze, which destroyed the plant and led to Octel
being prosecuted under Sections 2 and 3 of the
Health and Safety at Work etc. Act 1974. The com-
pany was fined 150,000 pounds for failing to ensure
the safety of employees and others. The Health and
Safety Executive (HSE) concluded in its report that
the incident might have been prevented if a more
detailed assessment of the hazards and risks of the
operation on site had been carried out by the com-
pany beforehand. Octel has since rebuilt the plant
incorporating improved safety features; it has also
introduced better standards for health and safety
management, particularly for maintenance.
A Risky Business
Assessing and managing risks and hazards is an
essential part of working with chemicals, but the
range of models and theories that try to explain how
accidents are caused within organizations, and how
best to manage risks, can be almost baffling. Most
chemical processes are inherently unsafe, which
means that the safe operation of these processes
depends on engineered safety devices and good op-
erating processes. There are three main factors con-
tributing to accident causation and risk assessment:
hardware; people; and systems and cultures. Impor-
tant lessons could be missed in accounts of acci-
dents that emphasize one of these factors rather
than taking a balanced view. Sometimes human
error is the direct cause of an incident, but more
often human error is an indirect or contributory
factor, resulting from poor safety management or
poor safety culture. So-called hardware failures can
also take place on more than one level. Besides
failures such as structural collapse, others involve
underlying causes like poor design. Hardware fail-
ure was emphasized in the HSE’s report into the
Allied Colloids Bradford warehouse fire in 1992. The
incident took place when kegs of a self-reactive sub-
stance ruptured, although it was not clear at the
time whether this was a result of operator error or
close proximity to a manufacturing steam heating
system.
There is a strong human dimension to risk assess-
ment because people are involved throughout the
risk assessment process. People estimate and evalu-
ate risks, are implicated in the cause of accidents
and have to live with or accept risks every day.
Because economic and political considerations rep-
resent human dimensions too, these are also impor-
tant factors in risk assessment. The clean-up costs
or threat of fines are additional factors that need to
be weighed up when installing safety features to
prevent pollution in rivers, for example.
Policy, legislation, economics, and public opinion
are all human factors that come into play in deciding
the best course of action. Shell, for instance, learned
to its cost the importance of public opinion in as-
sessing risks during the recent Brent Spar debacle.
Even after assessing a number of options for the
spar, deep-sea disposal — Shell’s initial solution —
© 2000 by CRC Press LLC
proved to be one of the two most acceptable propos-
als in terms of cost, safety and environmental im-
pact. The public’s hostile reaction to deep-sea dis-
posal cost Shell £20 million.
If the human dimension is taken into account,
then the concept of risk assessment as a purely
objective, scientific activity needs to be abandoned.
The way that society deals with risk is deeply cul-
tural, and therefore cannot be improved by simply
applying more, or better science. The two ends of the
spectrum in the ‘subjective/objective debate’ are rep-
resented by the so-called ‘cultural relativists’, who
define risk as subjective and socially constructed,
and the ‘naive positivists’ who think that risk is an
objectively measurable reality. But both of these
extreme positions oversimplify risk. Risk assess-
ment can be objective in that it can be the subject of
rational dispute and criticism, is dependent on prob-
abilities affected by empirical events and can be
criticized in terms of how well the scientific goals of
explanation and prediction are served. Whilst choos-
ing the middle ground, the strengths of both sides
should be recognized rather than simply watered
down. Both scientific and ethical components have
an important part to play in forming a strategy to
deal with risk.
Safe Science
Despite the theories on risk being proffered by both
scientists and social scientists, companies need to
assess and manage risks on a day to day basis.
Practical advice and assessment are available from
a number of sources that have the experience and
expertise to set industry on the right track.
One such source is the HSE’s Health and Safety
Laboratory (HSL), which undertakes research into
risks to health and safety, and how they can be
controlled. As well as providing scientific and tech-
nological advice, HSL also carries out forensic inves-
tigations when workplace incidents take place.
HSL’s Sheffield site houses biomedical, occupa-
tional hygiene, and environmental equipment as well
as engineering, risk assessment, and safety man-
agement facilities. Large scale experiments involving
fires and explosions are carried out at the HSL’s
remote 550-acre site in Buxton, Derbyshire, which
includes facilities such as open air test ranges, tun-
nels, giant rigs, and scaffolding as well as a pilot
chemical reactor plant. These enable scientists to
study fire, smoke, and toxic and flammable liquids
and disaster scenarios such as gas explosions.
HSL provides scientific and technological advice to
both private and public sector organizations, and
undertakes R&D work. As well as providing the
expertise to solve customer problems, the laboratory
also provides independent and impartial scientific
expertise on a national and international scale. Other
services include rapidly assembling multi-disciplin-
ary teams for accident and investigative work. All
areas of worker safety and health are covered, in-
cluding those dealing with meeting European and
international standards.
Another source of guidance for those who regu-
larly deal with hazardous chemicals is the Chemical
Industries Association (CIA), which represents about
75% of British chemical manufacturers. The CIA
publishes ‘green books’ — guidelines that have been
devised by risk managers and loss prevention spe-
cialists from CIA member companies and which iden-
tify methods of quantifying risks and identifying
methods of risk control. These guides cover areas
such as employer and public liability, material dam-
age, and product liability, and come under the um-
brella of CIA’s responsible care program. Other pub-
lications cover communicating and comparing risks,
assessing risks associated with substances, and risk-
benefit analysis. The CIA has also published “Risk —
Its Assessment, Control, and Management”, a guide
aimed at the general public which gives information
on how the chemical industry goes about assessing
risks that arise from its products and processes,
and their effects on the public and the environment.
One Step Ahead
The HSE’s Chemical and Hazardous Installations
Division (CHID), which began operating in April,
1996, is responsible for all of the HSE’s on-shore
operational functions including the manufacture,
processing, storage, and road transportation of all
chemicals and explosives.
When CHID was set up, Paul Davies, head of the
newly formed division, anticipated that the new regu-
lations covering high hazard industries would come
into force as a result of new European directives.
CHID’s role would be to help industry to prepare for
the changes that lay ahead especially in providing
effective management systems to insure the safety of
chemical installations at all stages-from design
through to decommissioning.
The Control of Major Accident Hazards (COMAH)
directive is an EU directive that came into force in
February 1999 and is a development of existing
Cimah regulations. According to Peter Sumption,
operational strategy manager at CHID, the Health
and Safety Commission (HSC) is currently consult-
ing with stakeholders, such as the CIA and the UK
Petrochemical Industries Association (PIA), in order
to publish draft regulations later this year. Guide-
lines will also be published at the same time, high-
lighting contentious issues in order to register any
comments. Sumption thinks that one issue that will
be raised is whether CHID should have powers to
© 2000 by CRC Press LLC
stop construction of a hazardous installation if it is
not satisfied with the site’s safety provisions. Over-
all, CHID’s holistic approach takes into account
underlying design and organization problems as well
as more obvious technical considerations. The new
directive places much greater emphasis on safety
management systems says Sumption. The HSC will
report to ministers in the autumn on completion of
the HSC report.
The proposed regulations will cover safety report
requirements, major accident prevention policy, and
on- and off-site emergency plans. CHID will test its
procedure for evaluating these requirements during
a trial run with four unnamed companies. Local
authorities and emergency services take part in test-
ing companies’ emergency plans, and local people
surrounding the plant will be informed about haz-
ards and emergency measures. In order to help
industry comply with these requirements, CHID plans
to publish a booklet dealing with emergency plan-
ning, as well as its criteria for accepting safety re-
ports.
The Future
The chemical industry may learn from its own past
experience, as well as from experiments like those
carried out at HSL on how to assess and manage
risk more effectively. But with the advances in com-
puter technology now becoming available, it is not
always essential to have hands-on experience of a
‘real-life’ chemical plant in order to assess its risk
potential. A recent collaboration between Imperial
College, Cadcentre, and Silicon Graphics/Cray Re-
search has resulted in a virtual plant, a three-di-
mensional computer-generated plant, which the
viewer can ‘walk through’. The plant is designed to
provide training for operators, maintenance staff,
and hazard prevention specialists before a real-life
plant is even built, and also to assist in safe design.
The plant is useful for training because information
about the physical processes taking place inside the
reactors and typical hazards taught during a plant
inspection can be experienced and understood in a
safe, virtual environment. There are also design
advantages; the time taken from design to comple-
tion of the plant could be reduced to just six months.
Currently it takes up to three years.
Companies can now learn from each other’s mis-
takes without ‘washing their dirty linen in public’,
thanks to a new database launched by the Institu-
tion of Chemical Engineers (ICHEME). The database
contains information on over 8000 industrial and
chemical accidents, including accident accounts and
the lessons that were learned. The aim is to help
other companies to prevent accidents and loss of
production time, and to save resources and people’s
lives. The database is available in CD-ROM format.
Sound Precautions
So how can the risk of incidents like the Octel fire be
assessed? Unfortunately, says Hurst, accidents like
these serve to confirm the public’s suspicion that
chemical processes are inherently unsafe. However,
by learning lessons from such incidents, by under-
standing the human and technical dimensions of
risk, and with the guidance of organizations like
CHID, HSL, and the CIA, sound preventative mea-
sures can be put in place. Communicating and com-
paring risks and implementing tougher European
directives will help both plant managers and the
neighbors to sleep more soundly.
1.42 IPPS
The Industrial Pollution Projection System (IPPS) is
a modeling system which can use industry data to
estimate comprehensive profiles of industrial pollu-
tion for countries, regions, urban areas or proposed
new projects. IPPS has been developed to exploit the
fact that industrial pollution is heavily affected by
the scale of industrial activity, its sectoral composi-
tion, and the process technologies which are em-
ployed in production. The U.S. prototype has a da-
tabase for 200,000 facilities in all regions of the U.S.
© 2000 by CRC Press LLC
IPPS spans approximately 1,500 product categories,
all operating technologies and hundreds of pollut-
ants. It can separately project air, water, and solid
waste emissions, and incorporates a range of risk
factors for human toxic and ecotoxic effects. Since it
has been developed from a database of unprec-
edented size and depth, it is undoubtedly the most
comprehensive system of its kind in the world. When
applying the U.S.-based estimates to other econo-
mies, patterns of sectoral intensity are likely to be
similar, but the present goal is to expand the appli-
cability of IPPS by incorporating data from develop-
ing countries. This paper provides a brief assess-
ment of the available databases, describes methods
for estimating pollution intensities by combining
U.S. Manufacturing Census data with the U.S. EPA’s
pollution databases, focuses on estimation of toxic
pollution intensities weighted by human and eco-
logical risk factors, and describes the media-specific
pollution intensities developed for the U.S. EPA’s
criteria air pollutants, major water pollutants, and
toxic releases by medium (air/water/land). Results
are critically assessed and the complete set of IPPS
intensities is then available. The World Bank’s tech-
nical assistance work with new environmental pro-
tection institutions (EPIs) can then stress cost-effec-
tive regulation with implementation of market-based
pollution control instruments.
 Part II. Mathematical Methods
2.1 Linear Programming
Linear Programming (LP) is a procedure for optimiz-
ing an objective function subject to inequality con-
straints and non-negativity restrictions. In a linear
program, the objective function as well as the in-
equality constraints are all linear functions. LP is a
procedure that has found practical application in
almost all facets of business, from advertising to
production planning. Transportation, distribution,
and aggregate production planning problems are the
most typical objects of LP analysis. The petroleum
industry seems to be the most intensive user of LP.
Large oil companies may spend 10% of the computer
time on the processing of LP and LP-like models.
2.2 The Simplex Model
LP problems are generally solved via the Simplex
model. The standard Solver uses a straightforward
implementation of the Simplex method to solve LP
problems, when the Assume Linear Model Box is
checked in the Solver Option dialog. If the Simplex
or LP/Quadratic is chosen in the Solver Parameters
dialog, the Premium and Quadratic Solvers use an
improved implementation of the Simplex method.
The Large-Scale LP Solver uses a specialized imple-
mentation of the Simplex method, which fully ex-
ploits sparsity in the LP model to save time and
memory. It uses automatic scaling, matrix factoriza-
tion, etc. These same techniques often result in
much faster solution times, making it practical to
solve LP problems with thousands of variables and
constraints.
2.3 Quadratic Programming
Quadratic programming problems are more complex
than LP problems, but simpler than general NLP
problems. Such problems have one feasible region
with “flat faces” on its surface, but the optimal
solution may be found anywhere within the region
or on its surface. Large QP problems are subject to
many of the same considerations as large LP prob-
© 2000 by CRC Press LLC
lems. In a straightforward or “dense” representation,
the amount of memory increases with the number of
variables times the number of constraints, regard-
less of the model’s sparsity. Numerical instabilities
can arise in QP problems and may cause more
difficulty than in similar size LP problems.
2.4 Dynamic Programming
In dynamic programming one thinks about what one
should do at the end. Then one examines the next to
last step, etc. This way of tackling a program back-
ward is known as dynamic programming. Dynamic
programming was the brainchild of an American
mathematician Richard Bellman, who described the
way of solving problems where you need to find the
best decisions one after another. The uses and ap-
plications of dynamic programming have increased
enormously.
2.5 Combinatorial Optimization
Optimization just means “finding the best”, and the
word “combinatorial” is just a six syllable way of
saying that the problem involves discrete choices,
unlike the older and better known kind of optimiza-
tion which seeks to find numerical values. Underly-
ing almost all the ills is a combinatorial explosion of
possibilities and the lack of adequate techniques for
reducing the size of the search space. Technology
based on combinatorial optimization theory can pro-
vide ways around the problems. It turns out that the
“assignment problem” or “bipartite matching prob-
lem” is quite approachable — computationally in-
tensive, but still approachable. There are good algo-
rithms for solving it.
2.6 Elements of Graph Theory
Graphs have proven to be an extremely useful tool
for analyzing situations involving a set of elements
in which various pairs of elements are related by
some property. Most obvious are sets with physical
links, such as electrical networks, where electrical
components are the vertices and the connecting
wires are the edges. Road maps, oil pipelines, tele-
phone connecting systems, and subway systems are
other examples. Another natural form of graphs are
sets with logical or hierarchical sequencing, such as
computer flow charts, where the instructions are the
vertices and the logical flow from one instruction to
possible successor instruction(s) defines the edges.
Another example is an organizational chart where
the people are the vertices and if person A is the
immediate superior of person B then there is an
edge (A,B). Computer data structures, evolutionary
trees in biology, and the scheduling of tasks in a
complex project are other examples.
2.7 Organisms and Graphs
I will discuss the use of graphs to describe processes
in living organisms. Later we will review graphs for
processes in chemical plants commonly known as
flowsheets. Ingestion f1 (Figure 7) is followed by
digestion f2, which leads on one hand to excretion f3
and on the other to absorption f4. The absorbed
materials are then transported via f4T5 to the sites of
synthetic processes f5. Then the synthesis of diges-
tive enzymes, represented by f6 , follows via trans-
port f5T6. These enzymes are transported via f6T7 to
the site of secretion, represented by f7, and digestion
f2 again follows.
On the other hand, some of the synthesized prod-
ucts are transported via f5T8 to the site of the cata-
bolic processes, which are represented by f8 . Prod-
ucts of catabolism are transported via f8T9 to the site
of elimination of waste products, and there elimina-
tion, represented by f9, takes place. Catabolic pro-
cesses result in the liberation of energy, represented
by f10, which in turn provides the possibility of trans-
port fT. On the other hand, after a transport f8T11, the
catabolic reactions give rise to the production f11 of
CO2, and the latter is transported within the cell via
f11T12. This eventually results in the elimination of
CO2, represented by f12.
The intake of O2 from the outside, represented by
f13, results in a transport of O2 to the sites of differ-
ent reactions involved in catabolic processes. Lib-
eration of energy combined with anaprocesses as
well as other biological properties result in the pro-
cess of multiplication, which is not intended in the
figure to simplify the latter.
2.8 Trees and Searching
The most widely used special type of graph is a tree.
A tree is a graph with a designated vertex called a
© 2000 by CRC Press LLC
root such that there is a unique path from the root
to any other vertex in the tree. Trees can be used to
decompose and systematize the analysis of various
search problems. They are also useful for graph
connectivity algorithms based on trees. One can also
analyze several common sorting techniques in terms
of their underlying tree structure.
2.9 Network Algorithms
Network algorithms are used for the solution of
several network optimization problems. By a net-
work, we mean a graph with a positive integer as-
signed to each edge. The integer will typically repre-
sent the length of an edge, time, cost, capacity, etc.
Optimization problems are standard in operations
research and have many practical applications. Thus
good systematic procedures for their solution on a
computer are essential. The flow optimization algo-
rithm can also be used to prove several important
combinatorial theorems.
2.10 Extremal Problems
Extremal problems or optimization problems may be
regarded abstractly in terms of sets and transforma-
tions of sets. The usual problem is to find, for a
specified domain of a transformation, a maximal
element of the range set. Problems involving discrete
optimization and methods for determining such val-
ues, whether exactly, approximately, or assym-
totically are studied here. We seek upper and lower
bounds and maximum and minimum values of a
function given in explicit form.
2.11 Traveling Salesman Problem
(TSP)-Combinatorial Optimization
Problems in combinatorial optimization involve a
large number of discrete variables and a single “cost”
function to be minimized, subject to constraints on
these variables. A classic example is the traveling
salesman problem: given N cities, find the minimum
length of a path connecting all the cities and return-
ing to its point or origin. Computer scientists clas-
sify such a problem as NP-hard; most likely there
exists no algorithm that can consistently find the
optimum in an amount of time polynomial in N.
From the point of view of statistical physics, how-
ever, optimizing the cost function is analogous to
finding the ground-state energy in a frustrated, dis-
ordered system. Theoretical and numerical ap-
proaches developed by physicists can consequently
be of much relevance to combinatorial optimization.
2.12 Optimization Subject to
Diophantine Constraints
A Diophantine equation is a polynomial equation in
several variables whose coefficients are rational and
for which a solution in integers is desirable. The
equations are equivalent to an equation with integer
coefficients. A system of Diophantine equations con-
sists of a system of polynomial equations, with ratio-
nal coefficients, whose simultaneous solution in
integers is desired. The solution of a linear Diophan-
tine equation is closely related to the problem of
finding the number of partitions of a positive integer
N into parts from a set S whose elements are positive
integers. Often, a Diophantine equation or a system
of such equations may occur as a set of constraints
of an optimization problem.
2.13 Integer Programming
Optimization problems frequently read: Find a vec-
tor x of nonnegative components in E, which maxi-
mizes the objective function subject to the con-
straints. Geometrically one seeks a lattice point in
the region that satisfies the constraints and mini-
mizes the objective function. Integer programming is
central to Diophantine optimization. Some problems
require that only some of the components of x be
integers. A requirement of the other components
may be that they be rational. This case is called
mixed-integer programming.
2.14 MINLP
Mixed Integer Nonlinear Programming (MINLP) re-
fers to mathematical programming algorithms that
can optimize both continuous and integer variables,
in a context of nonlinearities in the objective func-
tion and/or constraints. MINLP problems are NP-
complete and until recently have been considered
extremely difficult. Major algorithms for solving the
MINLP problem include: branch and bound, gener-
alized Benders decomposition (GBD), and outer ap-
proximation (OA). The branch and bound method of
solution is an extension of B&B for mixed integer
programming. The method starts by relaxing the
integrality requirements, forming an NLP problem.
Then a tree enumeration, having a subset of the
integer variables is fixed successively at each node.
Solution of the NLP at each node gives a lower bound
for the optimal MINLP objective function value. The
lower bound directs the search by expanding nodes
in a breadth first or depth first enumeration. A
disadvantage of the B&B method is that it may
require a large number of NLP subproblems. Sub-
problems optimize the continuous variables and
© 2000 by CRC Press LLC
provide an upper bound to the MINLP solutions,
while the MINLP master problems have the role of
predicting a new lower bound for the MINLP solu-
tion, as well as new variables for each iteration. The
search terminates when the predicted lower bound
equals or exceeds the current upper bound.
MINLP problems involve the simultaneous optimi-
zation of discrete and continuous variables. These
problems often arise in engineering domains, where
one is trying simultaneously to optimize the system
structure and parameters. This is difficult. Engi-
neering design “synthesis” problems are a major
application of MINLP algorithms. One has to deter-
mine which components integrate the system and
also how they should be connected and also deter-
mine the sizes and parameters of the components.
In the case of process flowsheets in chemical engi-
neering, the formulation of the synthesis problem
requires a superstructure that has all the possible
alternatives that are a candidate for a feasible de-
sign embedded in it. The discrete variables are the
decision variables for the components in the super-
structure to include in the optimal structure, and
the continuous variables are the values of the pa-
rameters of the included components.
2.15 Clustering Methods
Clustering methods have been used in various fields
as a tool for organizing (into sub-networks or astro-
nomical bodies) data. An exhaustive search of all
possible clusterings is a near impossible task, and
so several different sub-optimal techniques have
been proposed. Generally, these techniques can be
classified into hierarchical, partitional, and interac-
tive techniques. Some of the methods of validating
the structure of the clustered data have been dis-
cussed as well as some of the problems that cluster-
ing techniques have to overcome in order to work
effectively.
2.16 Simulated Annealing
Simulated annealing is a generalization of a Monte
Carlo method for examining the equations of state
and frozen states of n-body systems. The concept is
based on the manner in which liquids freeze or
metals recrystallize in the process of annealing. In
that process a melt, initially at high temperature
and disordered is slowly cooled so that the system at
any time is almost in thermodynamic equilibrium
and as cooling proceeds, becomes more disordered
and approaches a frozen ground state at T = 0. It is
as if the system adiabatically approaches the lowest
energy state. By analogy the generalization of this
Monte Carlo approach to the combinatorial approach
is straightforward. The energy equation of the ther-
modynamic system is analogous to an objective func-
tion, and the ground state is analogous to the global
minimum.
If the initial temperature of the system is too low
or cooling is done insufficiently slowly, the system
may become quenched forming defects or freezing
out in metastable states (i.e., trapped in a local
minimum energy state). By analogy the generaliza-
tion of this Monte Carlo approach to combinatorial
problems is straightforward.
2.17 A Tree Annealing
Simulated annealing was designed for combinatorial
optimization (assuming the decision variables are
discrete). Tree annealing is a variation developed to
globally minimize continuous functions. Tree an-
nealing stores information in a binary tree to keep
track of which subintervals have been explored. Each
node in the tree represents one of two subintervals
defined by the parent node. Initially the tree consists
of one parent and two child nodes. As better inter-
vals are found, the path down the tree that leads to
these intervals gets deeper and the nodes along
these paths define smaller and smaller subspaces.
2.18 Global Optimization Methods
This section surveys general techniques applicable
to a wide variety of combinatorial and continuous
optimization problems. The techniques involved be-
low are:
Branch and Bound
Mixed Integer Programming
Interval Methods
Clustering Methods
Evolutionary Algorithms
Hybrid Methods
Simulated Annealing
Statistical Methods
Tabu Search
Global optimization is the task of finding the abso-
lutely best set of parameters to optimize an objective
function. In general, there can be solutions that can
be locally optimal but not globally optimal. Thus
global optimization problems are quite difficult to
solve exactly; in the context of combinatorial prob-
lems, they are often NP-hard. Global optimization
problems fall within the broader class of nonlinear
programming (NLP). Some of the most important
classes of global optimization problems are differen-
tial convex optimization, complementary problems,
minimax problems, bilinear and biconvex program-
© 2000 by CRC Press LLC
ming, continuous global optimization, and quadratic
programming.
Combinatorial Problems have a linear or nonlinear
function defined over a set of solutions that is finite
but very large. These include network problems,
scheduling, and transportation. If the function is
piecewise linear, the combinatorial problem can be
solved exactly with a mixed integer program method,
which uses branch and bound. Heuristic methods
like simulated annealing, tabu search, and genetic
algorithms have also been used for approximate
solutions.
General unconstrained problems have a nonlinear
function over reals that is unconstrained (or have
simple bound constraints). Partitioning strategies
have been proposed for their exact solution. One
must know how rapidly the function can vary or an
analytic formulation of the objective function (e.g.,
interval methods). Statistical methods can also par-
tition to decompose the search space but one must
know how the objective function can be modeled.
Simulated annealing, genetic algorithms, clustering
methods and continuation methods can solve these
problems inexactly.
General constrained problems have a nonlinear
function over reals that is constrained. These prob-
lems have not been as well used; however, many of
the methods for unconstrained problems have been
adapted to handle constraints.
Branch and Bound is a general search method.
The method starts by considering the original prob-
lem with the complete feasible region, which is called
the root problem. A tree is generated of subprob-
lems. If an optimal solution is found to a subprob-
lem, it is a feasible solution to the full problem, but
not necessarily globally optimal. The search pro-
ceeds until all nodes have been solved or pruned, or
until some specified threshold is met between the
best solution found and the lower bounds on all
unsolved subproblems.
A mixed-integer program is the minimization or
maximization of a linear function subject to linear
constraints. If all the variables can be rational, this
is a linear programming problem, which can be
solved in polynomial time. In practice linear pro-
grams can be solved efficiently for reasonably sized
problems. However, when some or all of the vari-
ables must be integer, corresponding to pure integer
or mixed integer programming, respectively, the prob-
lem becomes NP-complete (formally intractable).
Global optimization methods that use interval tech-
niques provide rigorous guarantees that a global
maximizer is found. Interval techniques are used to
compute global information about functions over
large regions (box-shaped), e.g., bounds on function
values, Lipschitz constants, or higher derivatives.
Most global optimization methods using interval tech-
niques employ a branch and bound strategy. These
algorithms decompose the search domain into a
collection of boxes for which the lower bound on the
objective function is calculated by an interval tech-
nique.
Statistical Global Optimization Algorithms employ
a statistical model of the objective function to bias
the selection of new sample points. These methods
are justified with Bayesian arguments that suppose
that the particular objective function that is being
optimized comes from a class of functions that is
modeled by a particular stochastic function. Infor-
mation from previous samples of the objective func-
tion can be used to estimate parameters of the
stochastic function, and this refined model can sub-
sequently be used to bias the selection of points in
the search domain.
This framework is designed to cover average con-
ditions of optimization. One of the challenges of
using statistical methods is the verification that the
statistical model is appropriate for the class of prob-
lems to which they are applied. Additionally, it has
proved difficult to devise computationally interest-
ing version of these algorithms for high dimensional
optimization problems.
Virtually all statistical methods have been devel-
oped for objective functions defined over the reals.
Statistical methods generally assume that the objec-
tive function is sufficiently expensive so that it is
reasonable for the optimization method to perform
some nontrivial analysis of the points that have been
previously sampled. Many statistical methods rely
on dividing the search region into partitions. In
practice, this limits these methods to problems with
a moderate number of dimensions. Statistical global
optimization algorithms have been applied to some
challenging problems. However, their application has
been limited due to the complexity of the math-
ematical software needed to implement them.
Clustering global optimization methods can be
viewed as a modified form of the standard multistart
procedure, which performs a local search from sev-
eral points distributed over the entire search do-
main. A drawback is that when many starting points
are used, the same local minimum may be identified
several times, thereby leading to an inefficient global
search. Clustering methods attempt to avoid this
inefficiency by carefully selecting points at which
the local search is initiated.
Evolutionary Algorithms (EAs) are search methods
that take their inspiration from natural selection
and survival of the fittest in the biological world. EAs
differ from more traditional optimization techniques
in that they involve a search from a “population” of
solutions, not from a single point. Each iteration of
© 2000 by CRC Press LLC
an EA involves a competitive selection that weeds
out poor solutions. The solutions with high “fitness”
are “recombined” with other solutions by swapping
parts of a solution with another. Solutions are also
“mutated” by making a small change to a single
element of the solution. Recombination and muta-
tion are used to generate new solutions that are
biased towards regions of the space for which good
solutions have already been seen.
Mixed Integer Nonlinear Programming (MINLP) is a
hybrid method and refers to mathematical program-
ming algorithms that can optimize both continuous
and integer variables, in a context of non-linearities
in the objective and/or constraints. Engineering
design problems often are MINLP problems, since
they involve the selection of a configuration or topol-
ogy as well as the design parameters of those com-
ponents. MINLP problems are NP-complete and until
recently have been considered extremely difficult.
However, with current problem structuring methods
and computer technology, they are now solvable.
Major algorithms for solving the MINLP problem can
include branch and bound or other methods. The
branch and bound method of solution is an exten-
sion of B&B for mixed integer programming.
Simulated annealing was designed for combinato-
rial optimization, usually implying that the decision
variables are discrete. A variant of simulated an-
nealing called tree annealing was developed to glo-
bally minimize continuous functions. These prob-
lems involve fitting parameters to noisy data, and
often it is difficult to find an optimal set of param-
eters via conventional means.
The basic concept of Tabu Search is a meta-heu-
ristic superimposed on another heuristic. The over
all approach is to avoid entrainment in cycles by
forbidding or penalizing moves which take the solu-
tion, in the next iteration, to points in the solution
space previously visited (hence tabu).
2.19 Genetic Programming
Genetic algorithms are models of machine learning
that uses a genetic/evolutionary metaphor. Fixed-
length character strings represent their genetic in-
formation.
Genetic Programming is genetic algorithms ap-
plied to programs.
Crossover is the genetic process by which genetic
material is exchanged between individuals in the
population.
Reproduction is the genetic operation which causes
an exact copy of the genetic representation of an
individual to be made in the population.
Generation is an iteration of the measurement of
fitness and the creation of a new population by
means of genetic operations.
 A function set is the set of operators used in GP.
They label the internal (non-leaf) points of the parse
trees that represent the programs in the population.
The terminal set is the set of terminal (leaf) nodes
in the parse trees representing the programs in the
population.
2.20 Molecular Phylogeny Studies
These methods allow, from a given set of aligned
sequences, the suggestion of phylogenetic trees which
aim at reconstructing the history of successive di-
vergence which took place during the evolution,
between the considered sequences and their com-
mon ancestor.
One proceeds by
1. Considering the set of sequences to analyze.
2. Aligning these sequences properly.
3. Applying phylogenetic making tree methods.
4. Evaluating statistically the obtained phyloge-
netic tree.
2.21 Adaptive Search Techniques
After generating a set of alternative solutions by
manipulating the values of tasks that form the con-
trol services and assuming we can evaluate the
characteristics of these solutions, via a fitness func-
tion, we can use automated help to search the alter-
native solutions. The investigation of the impact of
design decisions on nonfunctional as well as func-
tional aspects of the system allows more informed
decisions to be made at an earlier stage in the design
process.
Building an adaptive search for the synthesis of a
topology requires the following elements:
1. How an alternative topology is to be represented.
2. The set of potential topologies.
3. A fitness function to order topologies.
4. Select function to determine the set of alterna-
tives to change in a given iteration of the search.
5. Create function to produce new topologies.
6. Merge function to determine which alternatives
are to survive each iteration.
7. Stopping criteria.
Genetic Algorithms offer the best ability to con-
sider a range of solutions and to choose between
them. GAs are a population based approach in which
a set of solutions are produced. We intend to apply
a tournament selection process. In tournament so-
lution a number of selections are compared and the
solution with the smallest penalty value is chosen.
The selected solutions are combined to form a new
© 2000 by CRC Press LLC
set of solutions. Both intensification (crossover) and
diversification (mutation) operators are employed as
part of a create function. The existing and new
solutions are then compared using a merge function
that employs a best fit criterion. The search contin-
ues until a stopping criterion, such as n iterations
after a new best solution is found.
If these activities and an appropriate search en-
gine is applied, automated searching can be an aid
to the designer for a subset of design issues. The aim
is to assist the designer not prescribe a topology.
Repeated running of such a tool as a design and
more information emergence is necessary
2.22 Advanced Mathematical
Techniques
This section merely serves to point out The Research
Institute for Symbolic Computation (RISC-LINZ). This
Austrian independent unit is in close contact with
the departments of the Institute of Mathematics and
the Institute of Computer Science at Johannes Kepler
University in Linz. RISC-LINZ is located in the Castle
of Hagenberg and some 70 staff members are work-
ing at research and development projects. Many of
the projects seem like pure mathematics but really
have important connection to the projects mentioned
here. As an example, Edward Blurock has developed
computer-aided molecular synthesis. Here algorithms
for the problem of synthesizing chemical molecules
from information in initial molecules and chemical
reactions are investigated. Several mathematical
subproblems have to be solved. The algorithms are
embedded into a new software system for molecular
synthesis. As a subproblem, the automated classifi-
cation of reactions is studied. Some advanced tech-
niques for hierarchical construction of expert sys-
tems have been developed. This work is mentioned
elsewhere in this book. He is also involved in a
project called Symbolic Modeling in Chemistry, which
solves problems related to chemical structures.
A remarkable man also is Head of the Department
of Computer Science in Vesprem, Hungary. Ferenc
Friedler has been mentioned before in this book for
his work on Process Synthesis, Design of Molecules
with Desired Properties by Combinatorial Analysis,
and Reaction Pathway Analysis by a Network Syn-
thesis Technique.
2.23 Scheduling of Processes for
Waste Minimization
The high value of specialty products has increased
interest in batch and semicontinuous processes.
Products include specialty chemicals, pharmaceuti-
cals, biochemicals, and processed foods. Because of
the small quantities, batch plants offer the produc-
ing of several products in one plant by sharing the
available production time between units. The order
or schedule for processing products in each unit of
the plant is to optimize economic or system perfor-
mance criterion. A mathematical programming model
for scheduling batch and semicontinuous processes,
minimizing waste and abiding to environmental con-
straints is necessary. Schedules also include equip-
ment cleaning and maximum reuse of raw materials
and recovery of solvents.
2.24 Multisimplex
Multisimplex can optimize almost any technical sys-
tem in a quick and easy way. It can optimize up to
15 control and response variables simultaneously.
Its main variables include continuous multivariate
on-line optimization, handling unlimited number of
control variables, handling unlimited number of re-
sponse variables and constraints, multiple optimi-
zation sessions, fuzzy set membership functions,
etc. It is a Windows-based software for experimental
design and optimization. Only one property or mea-
sure seldom defines the production process or the
quality of a manufactured product. In optimization,
more than one response variable must be consid-
ered simultaneously. Multisimplex uses the approach
of fuzzy set theory, with membership functions, to
form a realistic description of the optimization ob-
jectives. Different response variables, with separate
scales and optimization objectives, can then be com-
bined into a joint measure called the aggregated
value of membership.
2.25 Extremal Optimization (EO)
Extremal Optimization is a general-purpose method
for finding high-quality solutions to hard optimiza-
tion problems, inspired by self-organizing processes
found in nature. It successively eliminates extremely
undesirable components of sub-optimal solutions.
Using models that simulate far-from equilibrium
dynamics, it complements approximation methods
inspired by equilibrium statistical physics, such as
simulated annealing. Using only one adjustable pa-
rameter, its performance proves competitive with,
and often superior to, more elaborate stochastic
optimization procedures.
In nature, highly specialized, complex structures
often emerge when their most efficient components
are selectively driven to extinction. Evolution, for
example, progresses by selecting against the few
most poorly adapted species, rather than by ex-
pressly breeding those species best adapted to their
environment. To describe the dynamics of systems
© 2000 by CRC Press LLC
with emergent complexity, the concept of “self-orga-
nized criticality” (SOC) has been proposed. Models of
SOC often rely on “extremal” processes, where the
least fit components are progressively eliminated.
The extremal optimization proposed here is a dy-
namic optimization approach free of selection pa-
rameters.
2.26 Petri Nets and SYNPROPS
Petri Nets are graph models of concurrent process-
ing and can be a method for studying concurrent
processing. A Petri Net is a bipartite graph where the
two classes of vertices are called places and transi-
tions. In modeling, the places represent conditions,
the transitions represent events, and the presence of
at least one token in a place (condition) indicates
that that condition is met. In a Petri Net, if an edge
is directed from place p to transition t, we say p is
in an input place for transition t. An output place is
defined similarly. If every input place for a transition
t has at least one token, we say that t is enabled. A
firing of an enabled transition removes one token
from each input place and adds one token to each
output place. Not only do Petri Nets have relations to
SYNPROPS but also to chemical reactions and
Flowsheet Synthesis methods such as SYNPHONY.
2.27 Petri Net-Digraph Models for
Automating HAZOP Analysis of
Batch Process Plants
Hazard and Operability (HAZOP) analysis is the study
of systematically identifying every conceivable devia-
tion, all the possible causes for such deviation, and
the adverse hazardous consequences of that devia-
tion in a chemical plant. It is a labor-and time
intensive process that would gain by automation.
Previous work automating HAZOP analysis for
continuous chemical plants has been successful;
however, it does not work for batch and semi-con-
tinuous plants because they have two additional
sources of complexity. One is the role of operating
procedures and operator actions in plant operation,
and the other is the discrete-event character of batch
processes. The batch operations characteristics are
represented by high-level Petri Nets with timed tran-
sitions and colored tokens. Causal relationships
between process variables are represented with
subtask digraphs. Such a Petri Net-Gigraph model
based framework has been implemented for a phar-
maceutical batch process case study.
Various strategies have been proposed to auto-
mate process independent and items common to
many chemical plants. Most of these handle the
problem of automating HAZOP analysis for batch
plants. The issues involved in automating HAZOP
analysis for batch processes are different from those
for continuous plants.
Recently, the use of digraph based model methods
was proposed for hazard identification. This was the
emphasis for continuous plants in steady state op-
eration. The digraph model of a plant represents the
balance and confluence equations of each unit in a
qualitative form thus giving the relationships be-
tween the process state variables. The relationships
stay the same for the continuous plant operating
under steady-state conditions. However, in a batch
process, operations associated with production are
performed in a sequence of steps called subtasks.
Discontinuities occur due to start and stop of these
individual processing steps. The relationships be-
tween the process variables are different in different
subtasks. As the plant evolves over time, different
tasks are performed and the interrelationships be-
tween the process variables change. A digraph model
cannot represent these dynamic changes and
discontinuities. So, the digraph based HAZOP analy-
sis and other methods proposed for continuous mode
operation of the plant cannot be applied to batch or
semi-continuous plants and unsteady operation of
continuous plants. In batch plants, an additional
degree of complexity is introduced by the operator’s
role in the running of the plant. The operator can
cause several deviations in plant operation which
cannot occur in continuous plants. The HAZOP pro-
cedure has to be extended to handle these situations
in batch processes.
Batch plant HAZOP analysis has two parts: analy-
sis of process variable deviation and analysis of
plant maloperation. In continuous mode operation
hazards are due only to process variable deviations.
In continuous operation, the operator plays no role
in the individual processing steps. However, in batch
operation the operator plays a major role in the
processing steps. Subtask initiation and termina-
tion usually requires the participation of the opera-
tor. Hazards can arise in batch plants by inadvertent
acts of omission by the plant operator. Such hazards
are said to be due to plant maloperation.
The detailed description of how each elementary
processing step is implemented to obtain a product
is called the product recipe. The sequence of tasks
associated with the processing of a product consti-
tutes a task network. Each subtask has a beginning
and an end. The end of a subtask is signaled by a
subtask termination logic. The subtask termination
logic is either a state event or a time event. A state
event occurs when a state variable reaches a par-
ticular value. When the duration of a subtask is
fixed a priori, its end is flagged by a time event. A
time event causes a discontinuity in processing whose
time of occurrence is known a priori.
© 2000 by CRC Press LLC
A framework for knowledge required for HAZOP
analysis of batch processes has been proposed. High
level nets with timed transitions and colored tokens
represent the sequence of subtasks to be performed
in each unit. Each transition in a TPN represents a
subtask and each place indicates the state of the
equipment. Colored tokens represent chemical spe-
cies. The properties of chemical species pertinent to
HAZOP analysis; Name, Composition, Temperature,
and Pressure were the attributes with colored to-
kens.
In classical Petri Nets, an enabled transition fires
immediately, and tokens appear in the output places
the instant the transition fires. When used for rep-
resenting batch processes, this would mean that
each subtask occurs instantaneously and all tempo-
ral information about the subtask is lost. Hazards
often occur in chemical plants when an operation is
carried out for either longer or shorter periods than
dictated by the recipe. It is therefore necessary to
model the duration for which each subtask is per-
formed. For this, an optimum, representing the
duration for which the subtask occurs, was associ-
ated with each transition in the task Petri Net. The
numerical value of op-time is not needed to perform
HAZOP analysis since only deviations like HIGH and
LOW in the op-time are to be considered. A dead-
time was also associated with each transition to
represent the time between when a subtask is en-
abled and when operation of the subtask actually
starts. This is required for HAZOP analysis because
a subtask may not be started when it should have
been. This may cause the contents of the vessel to sit
around instead of the next subtask being performed,
which can result in hazardous reactions.
Recipe Petri Nets represent the sequence of tasks
to be performed during a campaign. They have timed
transitions and the associated tokens are the col-
ored chemical entity tokens. Each transition in these
Petri Nets represent a task. The places represent the
state of the entire plant. Associated with each tran-
sition in the recipe Petri Net is a task Petri Net.
In batch operations, material transfer occurs dur-
ing filling and emptying subtasks. During other
subtasks, operations are performed on the material
already present in the unit. However, the amount of
the substance already present in the unit may change
during the course of other subtasks due to reaction
and phase change. Similarly, the heat content of
materials can also undergo changes due to heat
transfer operations. Therefore, digraph nodes repre-
senting amount of material which enters the subtask,
amount of material which leaves the subtask, amount
of heat entering the subtask, and the amount of heat
leaving the subtasks are needed in each subtask
digraph.
 Using the framework above, a model based system
for automating HAZOP analysis of batch chemical
processes, called Batch HAZOP Expert, has been
implemented in the object-oriented architecture of
Gensym’s real-time expert system G2. Given the
plant description, the product recipe in the form of
tasks and subtasks and process material properties,
Batch HAZOPExpert can automatically perform
HAZOP analysis for the plant maloperation and pro-
cess variable deviation scenarios generated by the
user.
2.28 DuPont CRADA
DuPont directs a multidisciplinary Los Alamos team
in developing a neural network controller for chemi-
cal processing plants. These plants produce poly-
mers, household and industrial chemicals, and pe-
troleum products that are very complex and diverse
and where no models of the systems exist.
Improved control of these processes is essential to
reduce energy consumption and waste and to im-
prove quality and quantity. DuPont estimates its
yearly savings could be $500 million with a 1%
improvement in process efficiency. For example,
industrial distillation consumes 3% of the entire
U.S. energy budget. Energy savings of 10% through
better control of distillation columns would be sig-
nificant.
The team has constructed a neural network that
models the highly bimodal characteristics of a spe-
cific chemical process, an exothermic Continuously
Stirred Tank Reactor (CSTR). A CSTR is essentially
a big beaker containing a uniformly mixed solution.
The beaker is heated by an adjustable heat source to
convert a reactant into a product. As the reaction
begins to give off heat, several conversion efficien-
cies can exist for the same control temperature. The
trick is to control the conversion by using history
data of both the solution and the control tempera-
tures.
The LANL neural network, trained with simple
plant simulation data, has been able to control the
simulated CSTR. The network is instructed to bring
the CSTR to a solution temperature in the middle of
the multivalued regime and later to temperature on
the edge of the regime. Examining the control se-
quence from one temperature target to the next
shows the neural network has implicitly learned the
dynamics of the plant. The next step is to increase
the complexity of the numerical plant by adding time
delays into the control variable with a time scale
exceeding that of the reactor kinetics. In a future
step, data required to train the network will be
obtained directly from an actual DuPont plant.
The DuPont CRADA team has also begun a paral-
lel effort to identify and control distillation columns
© 2000 by CRC Press LLC
using neural network tools. This area is rich in
nonlinear control applications.
2.29 KBDS-(Using Design History
to Support Chemical Plant Design)
The use of design rationale information to support
design has been outlined. This information can be
used to improve the documentation of the design
process, verify the design methodology used and the
design itself, and provide support for analysis and
explanation of the design process. KBDS is able to
do this by recording the design artifact specification,
the history of its evolution and the designer’s ratio-
nale in a prescriptive form.
KBDS is a prototype computer-based support sys-
tem for conceptual, integrated, and cooperative
chemical processes design. KBDS is based on a
representation that accounts for the evolutionary,
cooperative and exploratory nature of the design
process, covering design alternatives, constraints,
rationale and models in an integrated manner. The
design process is represented in KBDS by means of
three interrelated networks that evolve through time:
one for design alternatives, another for models of
these alternatives, and a third for design constraints
and specifications. Design rationale is recorded within
IBIS network. Design rationale can be used to achieve
dependency-directed backtracing in the event of a
change to an external factor affecting the design.
This suggests the potential advantages derived from
the maintenance and further use of design rationale
in the design process.
The change in design objectives, assumptions, or
external factors is used as an example for an HDA
plant. The effect on initial-phase-split, separations,
etc. is shown as an effect of such changes. The effect
of the change in the price of oil affects treatment-of
lights, recycle-light-ends, good-use-of-raw-materials,
vent/flare lights, lights-are-cheap-as-fuel, etc.
The use of design rationale information to support
design can be used to improve the documentation of
the design process, verify the design methodology
used and the design itself, and provide support for
analysis and explanation of the design process. KBDS
is able to do this by recording the design artifact
specification, the history of its evolution, and the
designer’s rationale in a prescriptive form.
2.30 Dependency-Directed
Backtracking
Design objectives, assumptions, or external factors
often change during the course of a design. Such
changes may affect the validity of decisions previ-
ously made and thus require that the design is
reviewed. If a change occurs the Intent Tool allows
the designer to automatically check whether all is-
sues have the most promising positions selected and
thus determine from what point in the design his-
tory the review should take place. The decisions
made for each issue where the currently selected
position is not the most promising position should
be reviewed.
The evolution of design alternatives for the sepa-
ration section of the HDA plant is chosen as an
example. An example of a change to a previous
design decision (because the composition of the re-
actor effluent has changed) due to an alteration to
the reactor operating conditions is another example.
Also, the price of oil is an example of an external
factor that affects the design.
2.31 Best Practice: Interactive
Collaborative Environments
The computer scientists at Sandia National Labora-
tories developed a concurrent engineering tool that
will allow project team members physically isolated
from one another to simultaneously work on the
same drawings. This technology is called Interactive
Collaborative Environments (ICE). It is a software
program and networking architecture supporting
interaction of multiple X-Windows servers on the
same program being executed on a client worksta-
tion. The application program executing in the X-
Windows environment on a master computer can be
simultaneously displayed, accessed and manipu-
lated by other interconnected computers as if the
program were being run locally on each computer.
The ICE acts as both a client and a server. It is a
server to the X-Windows client program that is being
shared, and a client to the X-Servers that are par-
ticipants in the collaboration.
Designers, production engineers, and the other
groups can simultaneously sit at up to 20 different
workstations at different geographic locations and
work on the same drawing since all participants see
the same menu-driven display. Any and all of the
participants, if given permission by the master/
client workstation, may edit the drawing or point to
a feature with a mouse, and all work station pointers
are all simultaneously displayed. Changes are im-
mediately seen by everyone.
2.32 The Control Kit for O-Matrix
This is an ideal tool for a “classical” control system
without the need for programming. It has a user
friendly Graphical User Interface (GUI) with push
buttons, radio buttons, etc. The user has many
options to change the analysis, plot range, input
© 2000 by CRC Press LLC
format, etc., through a series of dialog boxes. The
system is single input-single output and shows the
main display when the program is invoked consist-
ing of transfer functions (pushbuttons) and other
operations (pulldown menus). The individual trans-
fer functions may be entered as a ratio of s-polyno-
mials, which allows for a very natural way of writing
Laplace transfer functions.
Once the model has been entered, various control
functions may be invoked. These are:
• Bode Plot
• Nyquist Plot
• Inverse Nyquist Plot
• Root Locus
• Step Response
• Impulse Response
• Routh Table and Stability
• Gain and Phase Margins
A number of facilities are available to the user
regarding the way plots are displayed. These in-
clude:
• Possibility to obtain curves of the responses of
both the compensated and uncompensated sys-
tems of the same plot, using different colors.
• Bode plot: The magnitude and phase plots may
be displayed in the same window but if the user
wishes to display them separately (to enhance
the readability for example), it is also possible to
do this sequentially in the same window.
• Nyquist plot: When the system is lightly damped,
the magnitude becomes large for certain values
of the frequency; in this case, ATAN Nyquist
plots may be obtained which will lie in a unit
circle for all frequencies. Again, both ordinary
and ATAN Nyquist plots may be displayed in the
same window.
• Individual points may be marked and their val-
ues displayed with the use of the cursor (for
example the gain on the root locus or the fre-
quency, magnitude, and phase in the Bode dia-
gram).
The user can easily change the system parameters
during the session by using dialog boxes. Models
and plots may be saved and recalled.
1997 Progress Report: Development and
Testing of Pollution Prevention Design
Aids for Process Analysis and Decision
Testing
This project is to create the evaluation and analysis
module which will serve as the engine for design
comparison in the CPAS Focus Area. The current
title for this module is the Design Options Ranking
Tool or DORT.
Through the use of case studies, it will be intended
to demonstrate the use of the Dort module as the
analysis engine for a variety of cost and non-cost
measures which are being developed under CPAS or
elsewhere. For example, the CPAS Environmental
Fate and Risk Assessment Tool (EFRAT) and Safety
Tool (Dow Indices Tools) are index generators that
can be used to rank the processes with respect to
environmental fate and safety. These process at-
tributes can then be combined with cost or other
performance measures to provide an overall rank of
process options based on user -supplied index
weightings. Ideally this information will be provided
to the designer incrementally as the conceptual pro-
cess design is being developed.
2.33 The Clean Process Advisory
System: Building Pollution Into
Design
CPAS is a system of software tools for efficiently
delivering design information on clean technologies
and pollution prevention methodologies to concep-
tual process and product designers on an as-needed
basis. The conceptual process and process design
step is where the potential to accomplish cost effec-
tive waste reduction is greatest. The goals of CPAS
include:
reduce or prevent pollution
reduce cost of production
reduce costs of compliance
enhance U.S. global competitiveness
attain sustainable environmental performance
The attributes of CPAS include:
CPAS is a customizable, computer-based suite
of design tools capable of easy expansion.
The tools are not intended to evaluate which
underlying methodologies are correct or best,
but rather to ensure all design options are pre-
sented and considered.
Tools that can be used as stand-alone or as an
integrated system should be used to ensure that
product and process designers will not have to wait
until the entire system is released before using indi-
vidual tools.
Each tool will interface with others and with com-
mercial process simulators. The system will operate
on a personal computer/workstation platform with
access on the World Wide Web for some tools.
© 2000 by CRC Press LLC
Nuclear Applications
Development of COMPAS, Computer-Aided
Process Flowsheet Design and Analysis
System of Nuclear-Fuel Reprocessing
A computer aided process flowsheet design and
analysis system, COMPAS has been developed in
order to carry out the flowsheet calculation on the
process flow diagram of nuclear fuel reprocessing.
All of the equipment in the process flowsheet dia-
gram are graphically visualized as icons on a bitmap
display of UNIX workstation. Drawing of the flowsheet
can be carried out easily by the mouse operation.
Specifications of the equipment and the concentra-
tions of the components in the stream are displayed
as tables and can be edited by a computer user.
Results of calculations can also be displayed graphi-
cally. Two examples show that the COMPAS is appli-
cable to decide operating conditions of the Purex
process and to analyze extraction behavior in a mixer-
settler extractor.
2.34 Nuclear Facility Design
Considerations That Incorporate
WM/P2 Lessons Learned
Many of the nuclear facilities that have been decom-
missioned or which are currently undergoing de-
commissioning have numerous structural features
that do not facilitate implementation of waste mini-
mization and pollution prevention (WM/P2) during
decommissioning. Many were either “one of a kind”
or “first of a kind” facilities at the time of their design
and construction. They provide excellent opportuni-
ties for future nuclear facility designers to learn
about methods of incorporating features in future
nuclear facility designs that will facilitate WM/P2
during the eventual decommissioning of these next-
generation nuclear facilities. Costs and the time for
many of the decommissioning activities can then be
reduced as well as risk to the workers. Some typical
design features that can be incorporated include:
improved plant layout design, reducing activation
products in materials, reducing contamination lev-
els in the plant, and implementing a system to
insure that archival samples of various materials as
well as actual “as built” and operating records are
maintained.
Computer based systems are increasingly being
used to control applications that can fail catastrophi-
cally, leading to either loss of life, injury, or signifi-
cant economic harm. Such systems have hard tim-
ing constraints and are referred to as Safety
Critical–Real Time (SC-RT) systems. Examples are
flight control systems and nuclear reactor trip sys-
tems. The designer has to both provide functionality
and minimize the risk associated with deploying a
system. Adaptive search Techniques and Multi-Cri-
teria Decision Analysis (MCDA) can be employed to
support the designers of such systems. The Analy-
sis-Synthesis-Evaluation (ASE) is used in software
engineering. In this iterative technique the Synthe-
sis element is concentrated on with “what-if” games
and alternative solutions. In addition, in one ex-
ample, architectural topology is used in ordering
alternatives having a fitness function with adaptive
search techniques.
2.35 Pollution Prevention Process
Simulator
Conceptual design and pollution control tradition-
ally have been performed at different stages in the
development of a process. However, if the designer
was given the tools to view a process’s environmen-
tal impact at the very beginning of the design pro-
cess, emphasis could be placed on pollution preven-
tion and the selection of the environmentally sound
alternatives. This could help eliminate total pollu-
tion as well as reduce the costs of the end-of-the-
pipe treatment that is currently done. The Optimizer
for Pollution Prevention, Energy, and Economics
(OPPEE) started the development of such tools.
The concept of pollution prevention at the design
stage started by OPPEE has grown into a much
broader project called the Clean Process Advisory
System (CPAS). CPAS has a number of complemen-
tary components that comprise a tool group:
The Incremental Economic and Environmental Analy-
sis Tool which compares a process’s pollution,
energy requirements, and economics
An information-based Separation Technologies Da-
tabase
Environmental Fate Modeling Tool
Pollution Prevention Process Simulator activities
have been merged into the CPAS Design Comparison
Tool Group.
2.36 Reckoning on Chemical
Computers
(Dennis Rouvray, professor of chemistry in Dept of
Chemistry at the University of Georgia, Athens, GA
30602-2556)
The days of squeezing ever more transistors onto
silicon chips are numbered. The Chemical computer
is one new technology that could be poised to take
over, says Dennis Rouvray, but how will it perform?
The growth in the use of the electronic computer
during the latter half of the 20th century has brought
in its wake some dramatic changes. Computers
started out as being rather forbidding mainframe
© 2000 by CRC Press LLC
machines operated by white-coated experts behind
closed doors. In more recent times, however, and
especially since the advent of PCs, attitudes have
changed and we have become increasingly reliant on
computers. The remarkable benefits conferred by
the computer have left us thirsting for more: more
computers and more powerful systems. Computer
power is already astonishing. State-of-the-art com-
puters are now able to compute at rates exceeding
109 calculations per second, and in a few years we
should be able to perform at the rate of 1012 calcu-
lations per second. To the surprise of many, such
incredible achievements have been accomplished
against a backdrop of steadily falling prices. It has
even been claimed that we are currently on the
threshold of the era of the ubiquitous computer, an
age when the computer will have invaded virtually
every corner of our existence. But, the seemingly
unstoppable progress being made in this area could
be curtailed if a number of increasingly intractable
problems are not satisfactorily solved.
Let us take a look at these problems and consider
what our options might be. The breathtaking pace of
computer development to date has been possible
only because astounding human ingenuity has en-
abled us to go on producing ever more sophisticated
silicon chips. These chips consist of tiny slivers of
silicon on which are mounted highly complex arrays
of interconnected electronic components, notably
transistors. A single transistor (or group of transis-
tors that performs some logic function) is referred to
as a logic gate. Progress in achieving greater com-
puter power ultimately depends on our ability to
squeeze ever more logic gates on to each chip. It
could be argued that the technology employed in
fabricating very large-scale integrated (VLSI) chips is
the most ingenious of all our modern technologies.
By the end of the year 2000 we can confidently
expect that it will be possible to cram as many as
1017 transistors into 1 cm3 of chip. An oft-quoted
but only semi-serious scientific law, known as Moore’s
Law, suggests that the number of transistors that
can be accommodated on a single chip doubles every
year. Until the mid-1970s this law appears to hold;
since then the doubling period has gradually length-
ened and is now closer to 18 months. This means
that processor speed, storage capacity, and trans-
mission rates are growing at an annual rate of about
60%, a situation that cannot be expected to con-
tinue into the indefinite future.
Current Status
Clearly, Moore’s Law will eventually experience a
major breakdown. Why will this occur and when
might we expect it to happen? We are currently in a
position to give fairly precise answers to both these
questions. The breakdown will occur because the
natural limits for the systems involved have been
reached. When electronic components are miniatur-
ized and packed extremely closely together they be-
gin to interfere with one another. For example, the
heat generated by operating them becomes very dif-
ficult to dissipate and so overheating occurs. More-
over, quantum tunneling by the electrons in the
system assumes intolerable proportions. At present,
the electronic components mounted on chips are not
less than 0.5 um in size. By the year 2010, however,
this size could well have shrunk to 0.1 um or less.
Components of such dimensions will operate effec-
tively only if several increasingly urgent issues have
been resolved by that time. These include the heat
dissipation problem, constructing suitable potential
energy barriers to confine the electrons to their pre-
scribed pathways, and developing new optical li-
thography techniques for etching the chips. Although
imaginative new procedures will continue to be in-
troduced to overcome these problems, the consen-
sus is that by the year 2012 at the latest we will have
exhausted all the tricks of the trade with our current
technology. A transition to some new technology will
then be imperative.
What then are our options for a brand new tech-
nology? The battle lines have already been drawn
and it is now clear that two technologies will be
competing to take over. These will be based either on
a molecular computing system or a quantum com-
puting system. At this stage it is not clear which of
these will eventually become established, and it is
even possible that some combination of the two will
be adopted. What is clear is that the molecular
computer has a good chance in the short term,
because it offers a number of advantages. For ex-
ample, the problems associated with its implemen-
tation tend to be mild in comparison with those for
the quantum computer. Accordingly, it is believed
that the molecular computer is likely to have re-
placed our present technology by the year 2025.
This technology could, in turn, be replaced by the
quantum computer. However, the arrival on the scene
of the latter could well be delayed by another quarter
of a century, thus making it the dominant technol-
ogy around the year 2050. Both of these new tech-
nologies have the common feature that they depend
on manipulating and controlling molecular systems.
This implies, of course, that both will be operating in
the domain in which quantum effects are para-
mount.
Future Prospects
The control of matter in the quantum domain and
the exploitation of quantum mechanics present sig-
nificant challenges. In the case of the quantum com-
puter, for example, the whole operation is based on
establishing, manipulating, and measuring pure
© 2000 by CRC Press LLC
quantum states of matter than can evolve coher-
ently. This is difficult to achieve in practice and
represents a field that is currently at the cutting
edge of quantum technology. The molecular or chemi-
cal computer on the other hand gives rise to far
fewer fundamental problems of this kind and is, at
least in principle, quite feasible to set up. The pri-
mary difficulties lie rather in more practical areas,
such as integrating the various component parts of
the computer. The differences between the two tech-
nologies are well illustrated in the distinctive ways
in which the various component parts are intercon-
nected together in the two computers.
In quantum computers, connections are estab-
lished between the components by means of optical
communication, which involves using complex se-
quences of electromagnetic radiation, normally in
the radio frequency range. A system that functions
reliably is difficult to set up on the nanoscale envis-
aged. But for the molecular computer there are
already several proven methods available for inter-
connecting the components. There is, for example,
the possibility of using so-called quantum wires, an
unfortunate misnomer because these have nothing
to do with quantum computers. Research on quan-
tum wires has been so extensive that there are now
many options open to us. The most promising at
present are made of carbon and are based on either
single- or multi-walled carbon nanotubes. Single-
walled nanotubes offer many advantages, including
their chemical stability, their structural rigidity, and
their remarkably consistent electrical behavior. In
fact, they exhibit essentially metallic behavior and
conduct via well separated electronic states. These
states remain coherent over quite long distances,
and certainly over the ca. 150 nm that is required to
interconnect the various components.
Other possible starting materials for fabricating
quantum wires include gallium arsenide and a vari-
ety of conducting polymers, such as polyacetylene,
polyaniline, or polyacrylonitrile. When electrical in-
sulation of these wires is necessary, molecular hoops
can be threaded on to them to produce rotaxane-
type structures.
Connecting the components of a chemical com-
puter together is one thing. Having all the compo-
nents at hand in suitable form to construct a work-
ing chemical computer is quite another. Can we
claim that all the necessary components are cur-
rently available, at least in embryonic form? This
would be going too far, though there are many signs
that it should be feasible to prepare all these com-
ponents in the not too distant future. Consider, for
example, how close we are now to producing a mo-
lecular version of the key computer component, the
transistor. A transistor is really no more than a
glorified on/off switch. In traditional, silicon chip-
based computers this device is more correctly re-
ferred to as a metal oxide semiconductor field effect
transistor or Mosfet. The charge carriers (electrons
in this case) enter at the source electrode, travel
through two n-type regions (where the charge carri-
ers are electrons) and one p-type channel (where the
charge carriers are positive holes), and exit at the
drain electrode. The Mosfet channel either permits
or forbids the flow of the charge carriers depending
on the voltage applied across the channel. Cur-
rently, a gap of 250 nm is used between the elec-
trodes, but if this distance were reduced to below 10
nm, the charges could jump between the electrodes
and render the transistor useless.
Chemical Computers
In the chemical computer this problem does not
arise because the switching is carried out by indi-
vidual molecules. The switching function is based
on the reversible changing of some feature of the
molecule. One could envisage that the relevant mol-
ecules are packed together in a thin molecular film
and that each molecule is addressed independently
by using a metallic probe of the kind used in scan-
ning tunneling microscopy. Switching would thus be
an integral feature of the molecular film and would
exploit some aspect of the molecular structure of the
species making up the film. The noting of molecules
performing electronic functions is not new. As long
ago as 1974, a proposal was put forward for a
molecular rectifier that could function as a semicon-
ductor p/n junction. Since then, researchers have
synthesized a variety of molecular electronic switches.
The precise manner in which the different layers of
molecular switches and other molecular components
might be positioned in a chemical computer remains
to be resolved. Moreover, the chemical techniques to
be adopted in producing such complicated, three-
dimensional arrays of molecules have yet to be worked
out. Things are still at a rudimentary stage, though
considerable experience has been amassed over the
past two decades. In the case of one-dimensional
structures, we now have at our disposal the well-
known Merrifield polypeptide synthesis technique.
This allows us to synthesize high yields of polypep-
tide chains in which the amino acids are linked
together in some predetermined sequence. For two-
© 2000 by CRC Press LLC
dimensional structures, our extensive experience with
Langmuir-Blodgett films makes it possible to build
up arrays by successively depositing monolayers on
to substrates while at the same time controlling the
film thickness and spatial orientation of the indi-
vidual species in the layers. More recent work on
molecular assemblies constructed from covalent
species demonstrates that the judicious use of sur-
face modification along with appropriate self-assem-
bly techniques should render it possible to construct
ordered assemblies of bistable, photo-responsive
molecules.
Looking Ahead
The chemical computer may as yet be little more
than a glint in the eye of futurists. But substantial
progress, especially over the past decade, has al-
ready been made toward its realization. As our need
for radical new computer technology becomes in-
creasingly urgent during the next decade, it seems
likely that human ingenuity will see us through.
Most of the components of a molecular computer,
such as quantum wires and molecular switches, are
already in existence. Several of the other molecular
components could be used to replace our current
silicon chip-based technology. Moreover, our rapidly
accruing experience in manipulating the solid state,
and knowledge of the self-assembly of complex ar-
rays, should stand us in good stead for the tasks
ahead. When the new technology will begin to take
over is still uncertain, though few now doubt that it
can be much more than a decade away. Rather than
bursting on the scene with dramatic suddenness,
however, this transition is likely to be gradual. Ini-
tially, for example, we might see the incorporation of
some kind of molecular switch into existing silicon
chip technology, which would increase switching
speeds by several orders of magnitude. This could
rely on pulses of electromagnetic radiation to initiate
switching. Clearly, things are moving fast and some
exciting challenges still lie ahead. But, if our past
ingenuity does not fail us, it cannot be long before
some type of molecular computer sees the light of
day. Always assuming, of course, that unexpected
breakthroughs in quantum technology do not allow
the quantum computer to pip it to the post.
 Part III. Computer Programs for
Pollution Prevention and/or Waste Minimization
3.1 Pollution Prevention Using
Chemical Process Simulation
Chemical process simulation techniques are being
investigated as tools for providing process design
and developing clean technology for pollution pre-
vention and waste reduction.
HYSYS, commercially available process simula-
tion software, is used as the basic design tool. ICPET
is developing customized software, particularly for
reactor design, as well as custom databases for the
physical and chemical properties of pollutants, that
can be integrated with HYSYS. Using these capabili-
ties, studies are being carried out to verify reported
emissions of toxic chemicals under “voluntary-ac-
tion” initiatives and to compare the performance of
novel technology for treating municipal solid waste
with commercially available technology based on
incineration processes.
3.2 Introduction to the Green
Design
“Green Design” is intended to develop more environ-
mentally benign products and processes. Some ex-
amples of practices include:
Solvent substitution in which single use of a toxic
solvent is replaced with a more benign alternative,
such as biodegradable solvents or non-toxic sol-
vents. Water based solvents are preferable to organic
based solvents. Technology change such as more
energy efficient semiconductors or motor vehicle
engines. For example, the Energy Star program speci-
fies maximum energy consumption standards for
computers, printers, and other electronic devices.
Products in compliance can be labeled with the
“Energy Star.” Similarly, “Green Lights” is a program
that seeks more light from less electricity.
Recycling of toxic wastes can avoid dissipation of
the materials into the environment and avoid new
production. For example, rechargeable nickel-cad-
mium batteries can be recycled to recover both cad-
mium and nickel for other uses. Inmetco Corpora-
tion in Pennsylvania and West Germany are routinely
© 2000 by CRC Press LLC
recycling such batteries using pyrometallurgical dis-
tillation.
Three goals for green design are:
Reduce or minimize the use of non-renewable
resources;
Manage renewable resources to ensure
sustainability and;
Reduce, with the ultimate goal of eliminating
toxic and otherwise toxic harmful emissions to
the environment, including emissions contrib-
uting to global warming.
The object of green design is to pursue these goals
in the most cost-effective fashion. A green product
or process is not defined in any absolute sense, but
only in comparison with other alternatives of similar
function. For example, a product could be entirely
made of renewable materials, use renewable energy,
and decay completely at the end of its life. However,
this product would not be green if, for example, a
substitute product uses fewer resources during pro-
duction and uses or results in the release of fewer
hazardous materials.
Green products imply more efficient resource use,
reduced emission, and reduced waste, lowering the
social cost of pollution control and environmental
protection. Greener products promise greater profits
to companies by reducing costs (reduced material
requirements, reduced disposal fees, and reduced
environmental cleanup fees) and raising revenues
through greater sales and exports.
How can an analyst compare a pound of mercury
dumped into the environment with a pound of di-
oxin? Green indices or ranking systems attempt to
summarize various environmental impacts into a
simple scale. The designer or decision maker can
then compare the green score of alternatives (mate-
rials, processes, etc.) and choose the one with mini-
mal environmental impacts. This would contribute
to products with reduced environmental impacts.
 Following are some guiding principles for materi-
als selection:
Choose abundant, non-toxic materials where
possible.
Choose materials familiar to nature (e.g.,
celluose), rather than man-made materials (e.g.,
chlorinated aromatics).
Minimize the number of materials used in a
product or process.
Try to use materials that have an existing recy-
cling infrastructure.
Use recycled materials where possible.
Companies need management information systems
that reveal the cost to the company of decisions
about materials, products, and manufacturing pro-
cesses. This sort of system is called a “Full cost
accounting” system. For example, when an engineer
is choosing between protecting a bolt from corrosion
by plating it with cadmium vs. choosing a stainless
steel bolt, a full cost accounting system could pro-
vide information about the purchase price of two
bolts and the additional costs to the company of
choosing a toxic material such as cadmium.
Green Design is the attempt to make new products
and processes more environmentally benign by
making changes in the design phase.
3.3 Chemicals and Materials from
Renewable Resources
Renewable carbon is produced at a huge annual rate
in the biosphere and has been regarded as a valu-
able source of useful chemicals, intermediates, and
new products. The use of renewable feedstocks will
progressively move toward a CO2 neutral system of
chemical production. A “biomass refinery” describes
a process for converting renewable carbon into these
materials. The petrochemical industry, however, has
a significant lead in technology for selectively con-
verting their primary raw material into products.
The scope of methodology for conversion of biomass
is much smaller and the list of products available
from biomass is much shorter than for petrochemi-
cals.
Tools are needed to transform selectively nontra-
ditional feedstocks into small molecules (non-fuel
applications) and discrete building blocks from
renewables. Feedstocks include monosaccharides,
polysaccharides (celluose, hemicelluose, and starch),
extractives, lignin, lipids, and proteinaceous com-
© 2000 by CRC Press LLC
pounds. New transformations of these feedstocks
using homogeneous and heterogeneous catalysis are
needed as are new biochemical transformations.
Sessions on synthesis and use of levuinic acid and
levoglucosan, as well as sessions on new transfor-
mations and new building blocks from renewables
are necessary.
3.4 Simulation Sciences
Commercial software packages allow engineers to
quickly and easily evaluate a wide range of process
alternatives for batch plants. To reduce costs for
specialty chemical and pharmaceutical plants manu-
facturing high-value products requires many hours
of engineering time or the use of process simulation.
Commercial simulator packages have replaced in
house tools over the last 10 to 15 years. They are
also much improved. They can address waste mini-
mization. Following are several examples.
Solvents can either be sent to waste disposal or
recovered. Since recovery is preferred, simulation
can be used to answer the questions:
Batch or continuous distillation?
What equipment is available?
Are there enough trays?
What should the reflux ratio be?
Where should the feed go?
One can optimize a simple flash off the reactor,
determine cut points at various purity levels, etc.
A simulator can also remove bad actors from waste
streams with liquid extraction. The questions of how
many theoretical stages are needed and which sol-
vents are best can be determined. Some reactive
components are unstable and hazardous, so dis-
posal may not be recommended by a carrier, etc.
Simulators may help with controlling vapor emis-
sions. Absorbers may be designed with the right
number of stages, the right number of vapor/liquid
ratios. Pilot work can be cut down. The simulator
can help to find the right diameter, etc., also ensur-
ing minimum cost.
Simulators can help with distillation, crystalliza-
tion, and flash performance, ensuring proper sol-
vents and process development work.
They can evaluate whether the most cost-effective
solids removal procedure is in place.
They also have improved greatly in their physical
generation capability so important in developing
process systems.
Simulators are very useful in evaporative emis-
sions reports, and are important for government
reporting records.
 They are very important for a plant’s emergency
relief capabilities, needed for both safety and pro-
cess capability.
They can help tell whether the vapor above a
stored liquid is flammable.
3.5 EPA/NSF Partnership for
Environmental Research
Research proposals were invited that advance the
development and use of innovative technologies and
approaches directed at avoiding or minimizing the
generation of pollutants at the source. The opening
date was November 18, 1997 and the closing date
was February 17, 1998.
NSF and EPA are providing funds for fundamental
and applied research in the physical sciences and
engineering that will lead to the discovery, develop-
ment, and evaluation of advanced and novel envi-
ronmentally benign methods for industrial process-
ing and manufacturing. The competition addresses
technological environmental issues of design, syn-
thesis, processing and production, and use of prod-
ucts in continuous and discrete manufacturing in-
dustries. The long-range goal of this program activity
is to develop safer commercial substances and envi-
ronmentally friendly chemical syntheses to reduce
risks posed by existing practices. Pollution preven-
tion has become the preferred strategy for reducing
the risks posed by the design, manufacture, and use
of commercial chemicals. Pollution Prevention at the
source involves the design of chemicals and alterna-
tive chemical syntheses that do not utilize toxic
feedstocks, reagents, or solvents, or do not produce
toxic by-products or co-products. Investigations in-
clude:
Development of innovative synthetic methods
by means of catalysis and biocatalysis; photo-
chemical, electrochemical or biomimetric syn-
thesis; and use of starting materials which are
innocuous or renewable.
Development of alternative and creative reac-
tion conditions, such as using solvents which
have a reduced impact on health and the envi-
ronment, or increasing reaction selectivity thus
reducing wastes and emissions.
Design and redesign of useful chemicals and
materials such that they are less toxic to health
and the environment or safer with regard to
accident potential.
The aim of this activity is to develop new engineer-
ing approaches for preventing or reducing pollution
© 2000 by CRC Press LLC
from industrial manufacturing and processing ac-
tivities, both for continuous and discrete processes.
The scope includes: technology and equipment modi-
fications, reformulation or redesign of products,
substitution of alternative materials, and in-process
changes. Although these methods are thought of in
the chemical, biochemical, and materials process
industries, they are appropriate in other industries
as well, such as semiconductor manufacturing sys-
tems. Areas of research include:
• Biological Applications: Includes bioengineering
techniques such as metabolic engineering and
bioprocessing to prevent pollution. Examples
are conversion of waste biomass to useful prod-
ucts, genetic engineering to produce more spe-
cific biocatalysts, increase of energy efficiency,
decreased use of hazardous reactants or
byproducts, or development of more cost effec-
tive methods of producing environmentally be-
nign products.
• Fluid and Thermal Systems: Includes improved
manufacturing systems that employ novel ther-
mal or fluid and/or multiphase/particulate sys-
tems resulting in significantly lower hazardous
effluent production. Examples are novel refrig-
eration cycles using safe and environmentally
benign working fluids to replace halogenated
hydrocarbons hazardous to upper atmosphere
ozone levels; improved automobile combustion
process design for reduced pollutant produc-
tion.
• Interfacial Transport and Separations: Includes
materials substitutions and process alternatives
which prevent or reduce environmental harm,
such as change of raw materials or the use of
less hazardous solvents, organic coatings, and
metal plating systems where the primary focus
is on non-reactive diffusional and interfacial
phenomena. Examples include: use of special
surfactant systems for surface cleaning and
reactions; novel, cost-effective methods for the
highly efficient in-process separation of useful
materials from the components of process waste
streams (for example, field enhanced and hy-
brid separation processes); novel processes for
molecularly chemical and materials synthesis
of thin films and membranes.
• Design, Manufacturing, and Industrial Innova-
tions: Includes: (a) New and improved manufac-
turing processes that reduce production of haz-
ardous effluents at the source. Examples include:
machining without the use of cutting fluids that
currently require disposal after they are con-
taminated; eliminating toxic electroplating so-
lutions by replacing them with ion or plasma-
 based dry plating techniques; new bulk materi-
als and coatings with durability and long life;
and other desirable engineering properties that
can be manufactured with reduced environ-
mental impact. (b) Optimization of existing dis-
crete parts manufacturing operations to pre-
vent, reduce, or eliminate waste. Concepts
include: increased in-process or in-plant recy-
cling and improved and intelligent process con-
trol and sensing capabilities; in-process tech-
niques that minimize generation of pollutants
in industrial waste incineration processes.
• Chemical Processes and Reaction Engineering:
Includes improved reactor, catalyst, or chemical
process design in order to increase product yield,
improve selectivity, or reduce unwanted by-prod-
ucts. Approaches include novel reactors such
as reactor-separator combinations that provide
for product separation during the reaction, al-
ternative energy sources for reaction initiation,
and integrated chemical process design and
operation, including control. Other approaches
are: new multifunctional catalysts that reduce
the number of process stages; novel heteroge-
neous catalysts that replace state-of-the -art
homogeneous ones; new photo- or electro cata-
lysts that operate at low temperatures with high
selectivity; novel catalysts for currently
uncatalyzed reactions; processes that use re-
newable resources in place of synthetic inter-
mediates as feedstocks; novel processes for
molecularly controlled materials synthesis and
modification.
3.6 BDK-Integrated Batch
Development
This program is an integrated system of software
and is advertised as capable of streamlining product
development, reducing development costs, and ac-
celerating the time it takes to market the products.
It is said to allow a rapid selection of the optimum
chemical synthesis and manufacturing routes with
consideration of scale-up implications, have a seam-
less transfer of documentation throughout the pro-
cess and a smoother path to regulatory compliance
and a optimized supply chain, waste processing,
equipment allocation and facility utilization costs.
Furthermore, it identifies the optimum synthetic
route and obtains advice on raw material costs,
yields, and conversion and scale-up; finds the
smoothest path to comply with environmental, safety,
and health regulations; uses equipment selection
expert systems to draw on in-depth knowledge of the
unit operations used in batch processing; increases
efficiency in the allocation and utilization of facili-
© 2000 by CRC Press LLC
ties; enables product development chemists and
process development engineers to share a common
frame of reference that supports effective communi-
cation, information access, and sharing throughout
the project, and captures the corporate product de-
velopment experience and shares this among future
product development teams. There are other claims
for this program that were developed by Dr.
Stephanopoulos and co-workers at MIT.
3.7 Process Synthesis
Process Synthesis is the preliminary step of process
design that determines the optimal structure of a
process system (cost minimized or profit maximized).
This essential step in chemical engineering practice
has traditionally relied on experience-based and
heuristic or rule-of-thumb type methods to evaluate
some feasible process designs. Mathematical algo-
rithms have then been used to find the optimal
solution from these manually determined feasible
process design options. The fault in this process is
that it is virtually impossible to manually define all
of the feasible process system options for systems
comprising more than a few operating units. This
can result in optimizing a set of process system
design options that do not even contain the global
optimal design.
For example, if a process has over 30 operating
units available to produce desired end products,
there are about one billion possible combinations
available. Now, a systematic, mathematical software
method to solve for the optimal solution defining all
of the feasible solutions from a set of feasible oper-
ating units has been developed, and this software
method performs well on standard desktop comput-
ers. A discussion of the mathematical basis and cost
estimation methods along with a glimpse of this new
software is presented.
Friedler and Fan have discovered a method for
process synthesis. It is an extremely versatile, inno-
vative and highly efficient method that has been
developed to synthesize process systems based on
both graph theory and combinatorial techniques. Its
purpose is to cope with the specificities of a process
system. The method depicts the structure of any
process system by a unique bipartite graph, or P-
graph in brief, wherein both the syntactic and se-
mantic contents of the system are captured. An
axiom system underlying the method has been es-
tablished to define exactly the combinatorial feasible
process structures. The method is capable of rigor-
ously generating the maximal structure comprising
every feasible possible structure or flowsheet for
manufacturing desired products from given raw
materials provided that all plausible operating units
are given and the corresponding intermediates are
known. The method is also capable of generating the
optimal and some near -optimal structures or
flowsheets from the maximal structure in terms of
either a linear or non-linear cost function. The task
is extremely difficult or impossible to perform by any
available process synthesis method. Naturally the
optimal and near-optimal flowsheets can be auto-
matically forwarded to an available simulation pro-
gram for detailed analysis, evaluation, and final se-
lection. Such effective integration between synthesis
and analysis is rendered by adhering to the combi-
natorial techniques in establishing the method. The
maximal structure may be construed as the rigor-
ously constructed superstructure with minimal com-
plexity. The superstructure as traditionally gener-
ated in the MINLP (Mixed Integer Non-linear
Programming) or MILP (Mixed Integer Linear Pro-
gramming) approach, has never been mathemati-
cally defined; therefore, it is impossible to derive it
algorithmically.
The method has been implemented on PCs with
Microsoft Windows because the search space is dras-
tically reduced by a set of axioms forming the foun-
dation of the method and also because the proce-
dure is vastly sped up by the accelerated branch and
bound algorithm incorporated in the method. To
date, a substantial number of process systems have
been successfully synthesized, some of which are
industrial scale containing more than 30 pieces of
processing equipment, i.e., operating units. Never-
theless, the times required to complete the synthe-
ses never exceeded several minutes on the PCs; in
fact, they are often in the order of a couple of min-
utes or less. Unlike other process-synthesis meth-
ods, the need for supercomputers, main-frame com-
puters, or even high-capacity workstations is indeed
remote when the present method is applied to com-
mercial settings. Intensive and exhaustive efforts
are ongoing to solidify the mathematical and logical
foundation, extend the capabilities, and improve the
efficiency of the present method. Some of these ef-
forts are being carried out in close collaboration with
Friedler and Fan and others are being undertaken
independently. In addition, the method has been
applied to diverse processes or situations such as
separation processes, azeotropic distillation, pro-
cesses with integrated waste treatment, processes
with minimum or no waste discharges, waste-water
treatment processes, chemical reactions in networks
of reactors, biochemical processes, time-staged de-
velopment of industrial complexes or plants, and
retrofitting existing processes. Many of these appli-
cations have been successfully completed.
A new approach, based on both graph theory and
combinatorial techniques, has been used to facili-
© 2000 by CRC Press LLC
tate the synthesis of a process system. This method
copes with the specifics of a process sytem using a
unique bipartite graph (called a P-graph) and cap-
tures both the syntactic and semantic contents of
the process system. There is an axiom system un-
derlying the approach and it has been constructed
to define the combinatorial feasible process struc-
tures. This axiom system is based on a set of speci-
fications for the process system problem. They in-
clude the types of operating units and the raw
materials, products, by-products, and a variety of
waste associated with the operating units. All fea-
sible structures of the process system are embedded
in the maximal structure, from which individual
solution-structures can be extracted subject to vari-
ous technical, environmental, economic, and soci-
etal constraints. Various theorems have been de-
rived from the axiom system to ensure that this
approach is mathematically rigorous, so that it is
possible to develop efficient process synthesis meth-
ods on the basis of a rigorous mathematical founda-
tion.
Analysis of the combinatorial properties of process
synthesis has revealed some efficient combinatorial
algorithms. Algorithm MSG generates the maximal
structure (super-structure) of a process synthesis
problem and can also be the basic algorithm in
generating a mathematical programming model for
this problem. This algorithm can also synthesize a
large industrial process since its complexity grows
merely polynomially with the size of the synthesized
process. Another algorithm, SSG, generates the set
of feasible process structures from the maximal struc-
ture; it leads to additional combinatorial algorithms
of process synthesis including those for decomposi-
tion and for accelerating branch and bound search.
These algorithms have also proved themselves to be
efficient in solving large industrial synthesis prob-
lems.
Process synthesis has both combinatorial and
continuous aspects; its complexity is mainly due to
the combinatorial or integer variable involved in the
mixed integer-nonlinear programming (MINLP) model
of the synthesis. The combinatorial variables of the
model affect the objective or cost function more
profoundly than the continuous variable of this
model. Thus, a combinatorial technique for a class
of process synthesis problems has been developed
and it is based on directed bipartite graphs and an
axiom system. These results have been extended to
a more general class of process design problems.
A large set of decisions is required for the determi-
nation of the continuous or discrete parameters
when designing a chemical process. This is espe-
cially true if waste minimization is taken into ac-
count in the design. Though the optimal values of
the continuous variables can usually be determined
by any of the available simulation or design pro-
grams, those of the discrete parameters cannot be
readily evaluated. A computer program has been
developed to facilitate the design decisions on the
discrete parameters. The program is based on both
the analysis of the combinatorial properties of pro-
cess structures and the combinatorial algorithms of
process synthesis.
The very complex decisions of process synthesis
occurs because the decisions are concerned with
specifications or identification of highly connected
systems such as process structures containing many
recycling loops. Now, a new mathematical notion,
decision mapping, has been introduced. This allows
us to make consistent and complete decisions in
process design and synthesis. The terminologies
necessary for decision-mappings have been defined
based on rigorous set theoretic formalism, and the
important properties of decision-mappings.
Process network synthesis (PNS) has enormous
practical impact; however, its mixed integer pro-
gramming (MIP) is tedious to solve because it usu-
ally involves a large number of binary variables. The
recently proposed branch-and-bound algorithm ex-
ploits the unique feature of the MIP model of PNS.
Implementation of the algorithm is based on the so-
called decision-mapping that consistently organizes
the system of complex decisions. The accelerated
branch-and-bound algorithm of PNS reduces both
the number and size of the partial problems.
3.8 Synphony
Synphony provides the ability to determine all fea-
sible flowsheets from a given set of operating units
and raw materials to produce a given product and
then ranks these by investment and operating costs.
Synphony has been proven to significantly reduce
investment and operating costs by minimizing by-
products and identifying the best overall design. The
software analyzes both new process designs and
retrofits of existing operations to generate all fea-
sible solutions and ranks the flowsheets based on
investment and operating costs.
The program called Synphony is commercially
available. A case study using Synphony at a manu-
facturing facility demonstrated a 40% reduction in
waste water and a 10% reduction in operating costs.
The software analyzes both new process designs and
retrofits of existing operations to generate all fea-
sible solutions and ranks the flowsheets based on
investment and operating costs. Synphony is the
first flowsheet synthesis software program to rigor-
ously define all feasible flowsheet structures from a
set of feasible unit operations and to rank flowsheets
© 2000 by CRC Press LLC
according to the lowest combined investments and
operating costs. All feasible flowsheets are deter-
mined from a set of operating units and raw mate-
rials to produce a given product and then these
flowsheets are ranked by investment and operating
costs. Each solution can be viewed numerically or
graphically from the automatically generated
flowsheets. A significant advantage of Synphony is
that it generates all feasible flowsheet solutions while
not relying on previous knowledge or heuristic meth-
ods. If the objective is to minimize waste, Synphony
has been proven to achieve significant reductions
while also reducing operating costs.
3.9 Process Design and
Simulations
Aspen is a tool that can be used to develop models
of any type of process for which there is a flow of
materials and energy from one processing unit to
the next. It has modeled processes in chemical and
petrochemical industries, petroleum refining, oil and
gas processing, synthetic fuels, power generation,
metals and minerals, pulp and paper, food, pharma-
ceuticals, and biotechnology. It was developed at the
Department of Chemical Engineering and Energy
Laboratory of the Massachusetts Institute of Tech-
nology under contract to the United States Depart-
ment of Energy (DOE). Its main purpose under that
contract was the study of coal energy conversion.
Aspen is a set of programs which are useful for
modeling, simulating, and analyzing chemical pro-
cesses. These processes are represented by math-
ematical models, which consist of systems of equa-
tions to be solved. To accomplish the process analysis,
the user specifies the interconnection and the oper-
ating conditions for process equipment. Given val-
ues of certain known quantities, Aspen solves for the
unknown variables. Documentation is available and
the ASPEN PLUS Physical Properties Manual is very
important.
Aspen Tech’s Smart Manufacturing Systems (SMS)
provides model-centric solutions to vertical and hori-
zontal integrated management systems. These em-
body Aspen Tech’s technology in the area of model-
ing, simulation, design, advanced control, on-line
optimization, information systems, production man-
agement, operator training, and planning and sched-
uling. This strategy is enabled by integrating the
technology through a Design-Operate-Manage con-
tinuous improvement paradigm.
The consortium in Computer-Aided Process De-
sign (CAPD) is an industrial body within the Depart-
ment of Chemical Engineering at CMU that deals
with the development of methodologies and com-
puter tools for the process industries. Directed by
Professors Biegler, Grossmann, and Westerberg, the
work includes process synthesis, process optimiza-
tion, process control, modeling and simulation, ar-
tificial intelligence, and scheduling and planning.
Unique software from Silicon Graphics/Cray Re-
search allows virtual plant, computational fluid dy-
namics analysis, and complex simulations. The CFD
analysis solution focuses on analyzing the fluid flows
and associated physical phenomena occurring as
fluids mix in a stirred tank or fluidized bed, provid-
ing new levels of insight that were not possible
through physical experimentation.
Advances in computational fluid dynamics (CFD)
software have started to impact the design and analy-
sis processes in the CPI. Watch for them.
Floudas at Princeton has discussed the computa-
tional framework/tool MINOPT that allows for the
efficient solution of mixed-integer, nonlinear optimi-
zation (MINLP) methodologies and their applications
in Process Synthesis and Design with algebraic and/
or dynamic constraints. Such applications as the
areas of energy recovery, synthesis of complex reac-
tor networks, and nonideal azeotropic distillation
systems demonstrate the capabilities of MINOPT.
Paul Matthias has stated that the inorganic-chemi-
cal, metals, and minerals processing industries have
derived less benefit from process modeling than the
organic-chemical and refining industries mainly due
to the unique complexity of the processes and the
lack of focused and flexible simulation solutions. He
highlighted tools needed (i.e., thermodynamic and
transport properties, chemical kinetics, unit opera-
tions), new data and models that are needed, how
models can be used in day-to-day operations, and
most important, the characteristics of the simula-
tion solutions that will deliver business value in
such industries.
The industrial perspective of applying new, mostly
graphical tools for the synthesis and design of non-
ideal distillation systems reveals the sensitivity of
design options to the choice of physical properties
representation in a more transparent way than simu-
lation, and such properties are very useful in con-
junction with simulation.
Barton discusses three classes of dynamic optimi-
zation problems with discontinuities: path con-
strained problems, hybrid discrete/continuous prob-
lems, and mixed-integer dynamic optimization
problems.
3.10 Robust Self-Assembly Using
Highly Designable Structures and
Self-Organizing Systems
Through a statistical exploration of many possibili-
ties, self-assembly creates structures. These explo-
© 2000 by CRC Press LLC
rations may give rise to some highly designable struc-
tures that can be formed in many different ways. If
one uses such structures for self-assembly tasks, a
general approach to improving their reliability will
be realized.
Manufacturing builds objects from their compo-
nents by placing them in prescribed arrangements.
This technique requires knowledge of the precise
structure needed to serve a desired function, the
ability to create the components with the necessary
tolerances, and the ability to place each component
in its proper location in the final structure.
If such requirements are not met, self-assembly
offers another approach to building structures from
components. This method involves a statistical ex-
ploration of many possible structures before settling
into a possible one. The particular structure pro-
duced from given components is determined by bi-
ases in the exploration, given by component interac-
tions. These may arise when the strength of the
interactions depends on their relative locations in
the structure. These interactions can reflect con-
straints on the desirability of a component being
near its neighbors in the final structure. For each
possible structure the intersections combine to give
a measure of the extent to which the constraints are
violated, which can be viewed as a cost of energy for
that structure. Through the biased statistical explo-
ration of structures, each set of components tends
to assemble into that structure with the minimum
energy for that set. Thus, self-assembly can be viewed
as a process using a local specification, in terms of
the components and their interactions, to produce a
resulting global structure. The local specification is,
in effect, a set of instructions that implicitly de-
scribes the resulting structure.
We describe here some characteristics of the sta-
tistical distributions of self-assembled structures.
Self-assembly can form structures beyond the
current capacity of direct manufacturing. The most
straightforward technique for designing self-assem-
bly is to examine with a computer simulation the
neighbors of each component in the desired global
structure, and then choose the interactions between
components to encourage these neighbors to be close
together.
A difficulty in designing the self-assembly process
is the indirect or emergent connection between the
interactions and the properties of resulting global
structures. There is a possibility of errors due to
defective components or environmental noise. To
address this problem, it would be useful to arrange
the self-assembly so the desired structure can be
formed in many ways, increasing the likelihood they
will be correctly constructed even with some unex-
pected changes in the components or their interac-
tions. That is, the resulting global structure should
not be too sensitive to errors that may occur in the
local specification.
A given assembly can then be characterized by the
number of different component configurations pro-
ducing a given global designability. Self-assembly
processes with skewed distributions of designability
can also produce relatively large energy gaps for the
highly designable structures. A large energy gap
with small changes in the energies of all the global
structures do not change the one with the minimum
energy, but small changes with a small gap are likely
to change the minimum energy structure. If there
are several structures that adjust reasonably well to
the frustrated constraints in different ways, the
energy differences among these local minima will
determine the gap.
Self-assembly of highly designable structures is
particularly robust, both with respect to errors in
the specification of the components and environ-
mental noise. Thus we have a general design prin-
ciple for robust self-assembly: select the compo-
nents, interactions and possible global structures so
the types of structures desired for a particular appli-
cation are highly designable.
Applying this principle requires two capabilities.
The first is finding processes leading to highly
designable structures of the desired forms. The sec-
ond requirement is the ability to create the neces-
sary interactions among the components
Achieving a general understanding of the condi-
tions that give rise to highly designable structures is
largely a computational problem that can be ad-
dressed before actual implementations become pos-
sible. Thus developing this principle for self-assem-
bly design is particularly appropriate in situations
where explorations of design possibilities take place
well ahead of the necessary technnological capabili-
ties. Even after the development of precise fabrica-
tion technologies, principles of robust self-assembly
will remain useful for designing and programming
structures that robustly adjust to changes in their
environments or task requirements.
3.11 Self-Organizing Systems
Some mechanisms and preconditions are needed for
systems to self-organize. The system must be ex-
changing energy and/or mass with its environment.
A system must be thermodynamically open because
otherwise it would use up all the available usable
energy in the system (and maximize its entropy) and
reach thermodynamic equilibrium
If a system is not at or near equilibrium, then it is
dynamic. One of the most basic kinds of change for
SOS is to import usable energy from its environment
© 2000 by CRC Press LLC
and export entropy back to it. Exporting entropy is
another way to say that the system is not violating
the second law of thermodynamics because it can be
seen as a larger system-environment unit. This en-
tropy-exporting dynamic is the fundamental feature
of what chemists and physicists call dissipative struc-
tures. Dissipation is the defining feature of SOS.
The magic of self-organization lies in the connec-
tions, interactions, and feedback loops between the
parts of the system; it is clear that SOS must have
a large number of parts. These parts are often called
agents because they have the basic properties of
information transfer, storage, and processing.
The theory of emergence says the whole is greater
than the sum of the parts, and the whole exhibits
patterns and structures that arise spontaneously
from the parts. Emergence indicates there is no code
for a higher-level dynamic in the constituent, lower-
level parts.
Emergence also points to the multiscale interac-
tions and effects in self-organized systems. The small-
scale interactions produce large-scale structures,
which then modify the activities at the small scales.
For instance, specific chemicals and neurons in the
immune system can create organism-wide bodily
sensations which might then have a huge effect on
the chemicals and neurons. Prigogine has argued
that micro-scale emergent order is a way for a sys-
tem to dissipate micro-scale entropy creation caused
by energy flux, but this is still not theoretically
supported.
Even knowing that self-organization can occur in
systems with these qualities, it’s not inevitable, and
it’s still not clear why it sometime does. In other
words, no one yet knows the necessary and suffi-
cient conditions for self-organization.
3.12 Mass Integration
An industrial process has two important dimen-
sions: (1) Mass which involves the creation and
routing of chemical species. These operations are
performed in the reaction, separation, and by-prod-
uct/waste processing systems. These constitute the
core of the process and define the company’s tech-
nology base. (2) Energy which is processed in the
supporting energy systems to convert purchased
fuel and electric power into the forms of energy
actually used by the process, for example, heat and
shaft work. Design, part science and part art, com-
mands a detailed understanding of the unit opera-
tion building blocks. They must be arranged to form
a complete system which performs desired func-
tions. It starts with a previous design and uses
experience-based rules and know-how along with
their creativity to evolve a better design. They are
aided by computer-based tools such as process simu-
lators and unit operation design programs.
These designs have scope for improvement, fre-
quently large and expensive. Now engineers realize it
is just as important to assemble the building blocks
correctly as it is to select and design them correctly
as individual components. This led to integrated
process design or process integration which is a
holistic approach to design that emphasizes the unity
of the whole process. Pinch analysis was an example
of this. It is the definitive way to design heat recovery
networks, to select process wide utility heating and
cooling levels to establish the energy/capital tradeoff
for heat recovery equipment. Mass flow is more
recent in process integration. It is similar to energy
integration but tackles the core of the process and
has a consequence of more direct and significant
impact on process performance. It addresses the
conversion, routing, and separation of mass and
deals directly with the reaction, separation, and
byproduct/waste processing systems. It guides de-
signers in routing all species to their most desirable
destinations and allows them to establish mass-
related cost tradeoffs. Mass integration also defines
the heating, cooling, and shaft work requirements of
the process. It also provides insight into other de-
sign issues such as providing resources (e.g., fuel
and water) to break up bottlenecks in the utility
systems and selecting the catalysts and other mate-
rial utilities.
3.13 Synthesis of Mass Energy
Integration Networks for Waste
Minimization via In-Plant
Modification
In recent years academia and industry envisioned
the development of the transshipment of a commod-
ity (the pollutant) from a set of sources to a set of
sinks to address pollution prevention. Some of the
design tools developed on the basis of this approach
are: Mass Exchange Networks (MENs), Reactive Mass
Exchange Networks (REAMENs), Combined Heat and
Reactive Mass Exchange Networks (CHARMENs),
Heat Induced Separation Networks (HISENs), and
Energy Induced Separation Networks (EISENs). These
designs are systems based (rather than unit based)
and trade off the thermodynamic, economic, and
environmental constraints on the system. They an-
swer the questions: (1) What is the minimum cost
required to achieve a specified waste reduction task,
and (2) What are the optional technologies required
to achieve the specified waste reduction task? They
are applicable only towards the optimal designed
end-of-pipe waste reduction systems. However,
source reduction is better because of regulatory
© 2000 by CRC Press LLC
agencies and also for economic incentives. This is
attributed to the fact that unit cost of separation
increases significantly with dilution (i.e., lower costs
for concentrated streams that are within the pro-
cess, and higher costs for dilute, end-of -pipe
streams). Thus, it is important that systematic de-
sign techniques target waste minimization from a
source reduction perspective.
3.14 Process Design
Process design uses molecular properties exten-
sively and it is a very important part of such work.
El-Halwagi uses the concept of integrated process
design or process integration which is a holistic
approach to design that emphasizes the unity of the
whole process. He states that powerful tools now
exist for treating industrial processes and sites as
integrated systems. These are used together with a
problem solving philosophy that involves addressing
the big picture first, using fundamental principles,
and dealing with details only after the major struc-
tural decisions are made. In further work, two ap-
proaches are developed: graphical and algorithmic.
In the graphical approach, a new representation is
developed to provide a global tracking for the various
species of interest. The graphical approach provides
a global understanding of optimum flow, separation,
and conversion of mass throughout the process. It
also provides a conceptual flowsheet that has the
least number of processing stages. In the algorith-
mic approach, the problem is formulated as an op-
timization program and solved to identify the opti-
mum flowsheet configuration along with the optimum
operating conditions.
A systematic tool is developed to screen reaction
alternatives without enumerating them. This task of
synthesizing Environmentally Acceptable Reactions
is a mixed-integer non-linear optimization program
that examines overall reactions occurring in a single
reactor to produce a specified product. It is designed
to maximize the economic potential of the reaction
subject to a series of stoichiometric, thermodynamic
and environmental constraints. It is a screening
tool, so additional laboratory investigation, path
synthesis, kinetics, and reactor design may be
needed, but it is an excellent starting point to plan
experimental work.
3.15 Pollution Prevention by
Reactor Network Synthesis
Chemical Reactor Synthesis is the task of identifying
the reactor or network of reactors which transform
raw materials to products at optimum cost. Given a
set of chemical reactions with stoichiometry and
kinetics, the goal is to find the type, arrangements,
and operating conditions of reactors which meet
design constraints. Reactor network synthesis is a
powerful tool since it gives the optimum reactor
flowsheet while minimizing cost. However, reactor
synthesis is difficult to achieve. Recently, a geomet-
ric approach has shown promise as a method of
reactor network synthesis. The strategy is to con-
struct a region defining all possible species concen-
trations which are attainable by any combination of
chemical reaction and/or stream mixing; this is called
the Attainable Region (AR). The two types of chemi-
cal reactors considered in this work are the Plug
Flow Reactor (PFR) and the Continuously Stirred
Reactor (CSTR). Once the AR is defined, the reactor
network optimization is essentially solved. The syn-
thesis of the optimum reactor network coincides
with the construction of the AR. An algorithm for
generating candidate attainable regions is available.
3.16 LSENS
LSENS, from the NASA Lewis Research Center, has
been developed for solving complex, homogeneous,
gas-phase, chemical kinetics problems. It was moti-
vated by the interest in developing detailed chemical
reaction mechanisms for complex reactions such as
the combustion of fuels and pollutant formation and
destruction. Mathematical descriptions of chemical
kinetics problems constitute sets of coupled, nonlin-
ear, first-order ordinary differential equations (ODEs).
The number of ODEs can be very large because of
the numerous chemical species involved in the reac-
tion mechanism. Further complicating the situation
are the many simultaneous reactions needed to de-
scribe the chemical kinetics of practical fuels. For
example, the mechanism describing the oxidation of
the simplest hydrocarbon fuel, methane, involves
over 25 species participating in nearly 100 elemen-
tary reaction steps. Validating a chemical reaction
mechanism requires repetitive solutions of the gov-
erning ODEs for a variety of reaction conditions.
Consequently, there is a need for fast and reliable
numerical solution techniques for chemical kinetics
problems. In addition to solving the ODEs describ-
ing chemical kinetics, it is often necessary to know
what effects variations in either initial condition
values or chemical reaction parameters have on the
solution. Such a need arises in the development of
reaction mechanisms from experimental data. The
rate coefficients are often not known with great
precision and in general, the experimental data are
not sufficiently detailed to accurately estimate the
rate coefficient parameters. The development of re-
action mechanism is facilitated by a systematic sen-
sitivity analysis which provides the relationships
© 2000 by CRC Press LLC
between the predictions of a kinetics model and the
input parameters of the problem.
3.17 Chemkin
Complex chemically reacting flow simulations are
commonly employed to develop a quantitative un-
derstanding and to optimize reaction conditions in
systems such as combustion, catalysis, chemical
vapor deposition, and plasma processing. They all
share the need for accurate, detailed descriptions of
the chemical kinetics occurring in the gas-phase or
on reactive surfaces. The Chemkin suite of codes
broadly consists of three packages for dealing with
gas-phase reaction kinetics, heterogeneous reaction
kinetics, and species transport properties. The
Chemkin software was developed to aid the incorpo-
ration of complex gas-phase reaction mechanisms
into numerical simulations. Currently, there are a
number of numerical codes based on Chemkin which
solve chemically reacting flows. The Chemkin inter-
face allows the user to specify the necessary input
through a high-level symbolic interpreter, which
parses the information and passes it to a Chemkin
application code. To specify the needed information,
the user writes an input file declaring the chemical
elements in the problem, the name of each chemical
species, thermochemical information about each
chemical species, a list of chemical reactions (writ-
ten in the same fashion a chemist would write them),
and rate constant information, in the form of modi-
fied Arrhenius coefficients. The thermochemical in-
formation is entered in a very compact form as a
series of coefficients describing the species entropy
(S), enthalpy (H), and heat capacity (Cp) as a func-
tion of temperature. The thermochemical database
is in a form compatible with the widely used NASA
chemical equilibrium code. Because all of the infor-
mation about the reaction mechanism is parsed and
summarized by the chemical interpreter, if the user
desires to modify the reaction mechanism by adding
species or deleting a reaction, for instance, they only
change the interpreter input file and the Chemkin
application code does not have to be altered. The
modular approach of separating the description of
the chemistry from the set-up and solution of the
reacting flow problem allows the software designer
great flexibility in writing chemical-mechanism-in-
dependent code. Moreover, the same mechanism
can be used in different chemically reacting flow
codes without alteration.
Once the nature of the desired or substituted
product or intermediate or reactant is known, we
wish to describe how it and the other species change
with time, while obeying thermodynamic laws. In
order to do this we use another program called
Envirochemkin, which is derived from a program
called Chemkin.
Chemkin is a package of FORTRAN programs
which are designed to facilitate a chemist’s interac-
tion with the computer in modeling chemical kinet-
ics. The modeling process requires that the chemist
formulate an applicable reaction mechanism (with
rate constants) and that he formulate and solve an
appropriate system of governing equations.
The reaction mechanism may involve any number
of chemical reactions that concern the selected named
species. The reactions may be reversible or irrevers-
ible, they may be three body reactions with an arbi-
trary third body, including the effects of enhanced
third body efficiencies, and they may involve photon
radiation as either a reactant or product.
The program was used by Bumble for air pollu-
tion, water pollution, biogenic pollution, stationary
sources, moving sources, remedies for Superfund
sites, environmental forensic engineering, the strato-
spheric ozone problem, the tropospheric ozone prob-
lem, smog, combustion problems, global warming,
and many other problems. It was found to function
well with room temperature reactions, working well
with free radicals, etc.
In order to describe Envirochemkin, a simplified
case is shown involving the cracking of ethane, to
convert it to a less toxic and profitable species. First,
create the reaction file called ethane.dat. Then cre-
ate the input file: ethane.sam.
The output Spec.out file is shown in the appendix,
from which we can plot 2 and 3 dimensional graphs.
In the ethane.dat file, we first type the word ELE-
MENTS, then all the chemical elements in the prob-
lem, then END, then the word SPECIES, then all the
chemical formulas, then the word END, then all the
chemical equations and next to each three con-
stants a, b, and c from the rate constant for the
equation that comes from the literature:
k = aT-bexp(-c/RT). Finally, at the end of the reac-
tions, which may number 100 in some problems, we
type END. The program can solve for 50 unknowns
(species) and 100 differential equations and such
problems are often run.
In the ethane.sam file we first type 0 for the iso-
thermal problems, where T and P are constant, then
the temperature in degrees K, and the pressure in
atm. next to it. Other modes for running problems
are 1 for constant H and P, 2 for constant U and V,
3 for T varies with time with V constant and 4 for T
varies with time with P constant. Below the numbers
3 and 4 are the coefficients for dT/d t= c1exp(-c2T)
+ c3 + c4T + c5T2, displayed as 3000. 1000. 0.0 0.0
0.0. Below that we put 0.0d-6, then the residence
time in microseconds in the form shown (which is
100000 usec. or 0.1 sec.) and then the interval in
© 2000 by CRC Press LLC
microsec. between times for calculation and display.
Then all the chemical formulas for the species and
below each one the initial concentration in mole
fractions (shown as 1.0 or 0.0) and a three digit code
consisting of 0 or 1. The ones indicate that a sensi-
tivity analysis calculation is wanted and is placed in
the 2nd position or that data is needed to make the
plotting of results simple.
The spec.out file presents the mole fraction of each
chemical species as a function of time, temperature,
and pressure as indicated. The mole fraction of each
species is presented in a matrix in the same position
as the chemical formulas at the top.
The program is originally in FORTRAN and will not
run if there is the slightest error. Now if the program
refuses to run, type intp.out and it will indicate what
the errors are, so you can correct them and run the
program again. Intp.out reveals your errors with an
uncanny sort of artificial intelligence that will ap-
pear at the appropriate equation shown below the
last statement.
In order to run, the thermodynamic data for each
species is needed and is contained in either the file
sandia.dat or chemlib.exe\thermdat. The data that
is used is
Cpi/R = a1 + a2iT + a3iT2 + a4iT3 + a5iT4 (1)
Hi/RT = a1I + a2i/2T + a3i/3aT2 +
a4i/4T3 + a5i/5T4 + a6i/T (2)
Si/R = a1ilnT + a2iT + a3i/2T2 +
a4i/3T3 + a5i/4T4 + a7i (3)
There are seven constants for each species (a1...a7)
and each species is fitted over two temperature
ranges, so there are fourteen constants for each
species in all.
Other information imbedded in the NASA code are
name, formula, date of creation, physical state, tem-
perature range of validity, and temperature at which
the two temperature ranges fit smoothly together.
Now to run the program type (in the order shown
below where ethane.dat is the reaction file):
c:\ckin\intp
ethane.dat
C:\ckin\sandia.dat
then wait a few moments and type
ckin\ckin
[enter] [enter]
ethane.sam [program will run]
 After the 1st, 2nd, and 3rd line press enter. After
the fourth line press enter twice.
If the thermodynamic data is in chemlib.exe\
thermdat, substitute that for sandia.dat.
In every run the file rates.out will be created.
The above is repeated for every instant of time for
which there is a calculation in the forward and
reverse direction and then the equations are ranked
according to the speed of their reaction. Note that
when the sign is negative in the fifth column, the
reaction proceeds in the reverse direction. Also note
that these data are very important in determining
the mechanism of the reaction.
Another file, sense.out, is created when the code
in ethane.sam indicates that it is desired for up to
five species.
There is often a great deal of uncertainty in the
rate constants for some reaction mechanisms. It is,
therefore, desirable to have an ability to quantify the
effect of an uncertain parameter on the solution to
a problem. A sensitivity analysis is a technique which
is used to help achieve this end. Applying sensitivity
analysis to a chemical rate mechanism requires
partial derivatives of the production rates of the
species with respect to parameters in the rate con-
stants for the chemical reactions. This file shows the
partial derivatives and how the increase or decrease
of each species changes the speed or velocity of each
reaction shown for every interval of time and like the
rates.out file is very important in determining the
mechanism and optimizing the reactions.
3.18 Computer Simulation,
Modeling and Control of
Environmental Quality
Programs such as Envirochemkin and Therm dis-
cussed later can help controllers bring systems or
plants into the optimum mode for pollution preven-
tion or minimization. Self-optimizing or adaptive
control systems can be developed now. These con-
sist of three parts: the definition of optimum condi-
tions of operation (or performance), the comparison
of the actual performance with the desired perfor-
mance, and the adjustment of system parameters by
closed-loop operation to drive the actual performance
toward the desired performance. The first definition
will be made through a Regulatory Agency requiring
compliance; the latter two by a program such as
Envirochemkin. Further developments that are now
in force include learning systems as well as adaptive
systems. The adaptive system modifies itself in the
face of a new environment so as to optimize perfor-
mance. A learning system is, however, designed to
recognize familiar features and patterns in a situa-
tion and then, from its past experience or learned
© 2000 by CRC Press LLC
behavior, reacts in an optimum manner. Thus, the
former emphasizes reacting to a new situation and
the latter emphasizes remembering and recognizes
old situations. Both attributes are contained in the
“mechanism” of Envirochemkin.
Envirochemkin can also use the Artificial Intelli-
gence technique of “backward chaining” to control
chemical processes to prevent pollution while maxi-
mizing profit during computation. “Backward Chain-
ing” is a method whereby the distance between the
nth step and the goal is reduced while the distance
between the n-1th step and the nth step is reduced
and so on down to the current state. To do this, time
is considered as negative in the computation and the
computations are made backward in time to see
what former conditions should be in order to reach
the present desired stage of minimum pollution and
maximum profit. This has been applied in forensic
work, where people were sickened by hazardous
material, not present when the analytical chemistry
was performed at a later date. However, the com-
puter kinetics detected the hazardous material dur-
ing the reaction of the starting material. Then the
amount of each starting species, the choice of each
starting species, the process temperature and pres-
sure and the mode of the process (adiabatic, isother-
mal, fixed temperature profile with time, etc.) and
associated chemical reaction equations (mechanism)
are chosen such as to minimize pollution and maxi-
mize profit.
3.19 Multiobjective Optimization
In the early 1990s, A. R. Ciric sent me a paper by
Ciric and Jia entitled “Economic Sensitivity Analysis
of Waste Treatment Costs in Source Reduction
Projects: Continuous Optimization Problems”, Uni-
versity of Cincinnati, Department. of Chemical En-
gineering, October 1992. This fine paper was really
the first I had seen that treated waste minimization
within a process simulation program. Waste Minimi-
zation and pollution prevention via source reduction
of a chemical process involves modifying or replac-
ing chemical production processes. The impact of
these activities upon process economics is unclear,
as increasing treatment and disposal costs and a
changing regulatory environment make the cost of
waste production difficult to quantify.
There are two ways to address treatment costs.
One way is to solve a parametric optimization prob-
lem that determines the sensitivity of the maximum
net profit to waste treatment costs. The other way is
to formulate the problem as a multiobjective optimi-
zation problem that seeks to maximize profits and
minimize wastes simultaneously.
 If waste treatment costs are well defined, source
reduction projects can be addressed with conven-
tional process synthesis and optimization techniques
that determine the process structure by maximizing
the net profit. However, future waste treatment and
disposal costs are often not well defined, but may be
highly uncertain. Since the treatment costs are rap-
idly increasing, the uncertainty in treatment costs
will make the results of conventional optimization
models very unreliable. Systematic techniques for
taking care of this critical feature have not been
developed.
The parametric method referred to above (treating
waste treatment as a parameter in the optimization
study) will lead to a sensitivity of the maximum
profit determined by solving numerous optimization
problems and a plot of the maximum net profit as a
function of the waste treatment cost. Alternately,
the process reduction source reduction can be for-
mulated as a multiobjective optimization problem.
There one would not try to place a cost on waste
treatment. Instead, one would seek to simultaneously
minimize waste generation and to maximize profits
before treatment costs. If both of these objectives
can be achieved in a single design, multiobjective
optimization will identify it. If these objectives can-
not be achieved simultaneously, multiobjective opti-
mization will identify a set of noninferior designs.
Fundamentally this design contains all designs where
profits cannot be increased without increasing waste
production. A plot of this set gives the trade-off
curve between waste production and profitability.
Each element of the noninferior set corresponds to
a design where profits have been maximized for a
fixed level of waste production. The entire trade-off
curve (or noninferior set) can be generated by para-
metrically varying waste production. In both ap-
proaches the final choice of the best design is left to
the decision maker capable of weighing potential
profits against risks.
3.20 Risk Reduction Through
Waste Minimizing Process
Synthesis
Waste minimization may be accomplished by source
reduction, recycling, waste separation, waste con-
centration, and waste exchange but these all depend
on the structure of the process. However, these all
need different waste treatment systems even when
generating the same product. Also, the risk depends
on the structure of the process. Conventionally, the
design of facilities for waste minimization and risk
reduction cannot be isolated from that of the pro-
cess for product generation. Process design and waste
minimization and risk reduction should be inte-
© 2000 by CRC Press LLC
grated into one consistent method. This, however,
makes the already complex tasks involved in pro-
cess synthesis very cumbersome. The work in this
section establishes a highly efficient and mathemati-
cally rigorous technique to overcome this difficulty.
A special directed bipartite graph, a process graph
or P-graph in short, has been conceived for analyz-
ing a process structure. In a P-graph, an operating
unit is represented on a process flowsheet by a
horizontal bar, and a material by a circle. If material
is an input to an operating unit, the vertex repre-
senting this material is connected by an arc to the
vertex representing the operating unit. If a material
is an output from an operating unit, the vertex
representing the material is connected by an arc to
the vertex representing the material. In Figures 17
and 18 the conventional and P-graph representa-
tions of a reactor and distillation column are shown.
All materials in the process being synthesized are
divided into five disjoint classes: raw materials, re-
quired products, potential products, disposable
materials, and intermediates. The intermediates are
similar to a disposable material; nevertheless, un-
like the disposed material, the intermediate must be
fed to some operating units for treatment or con-
sumption. The intermediate would be a waste which
may induce detrimental effects if discharged to the
environment or marketed as a by-product, and an
intermediate can be fed to some operating units of
the process, if produced. The potential product and
the production of the disposable product need not
occur. The operating units that generate a product
or treat an undesirable output can also produce the
disposable materials. A raw material, a required
product, a potential product, or a disposable mate-
rial can be fed to operating units. The intermediate
is like the disposable material, but unlike the dis-
posable material, it must be fed to some operating
units for treatment or consumption. It needs to be
treated or consumed within the process.
Specific symbols are assigned to the different
classes of materials in their graphical representa-
tions. For illustration, a process yielding product H,
potential product G, and disposable material D, from
raw materials A, B, and C by operating units 1, 2, 3
is shown in Figure 83. The method is founded on an
axiom system, describing the self-evident funda-
mental properties of combinatorially feasible pro-
cess structures and combinatorics. In the conven-
tional synthesis of a process, the design for the
product generation and that for the waste minimiza-
tion or treatment are performed separately. This
frequently yields a locally optimum process. Now we
will integrate these two design steps into a single
method for process synthesis.
 This truly integrated approach is based on an
accelerated branch and bound algorithm. The prod-
uct generation and waste treatment are considered
simultaneously in synthesizing the process. This
means the optimal structure can be generated in
theory. (The enumeration tree for the conventional
branch-and-bound algorithm which generates 75
subproblems in the worst case is shown in Figure
84). The cost-optimal structure corresponds to node
# 14, and it consists of operating units 2, 8, 9, 10,
15, 20, 25, and 26, as shown in Figure 35. Risk is
yet to be considered in this version of process syn-
thesis.
The same product(s) can be manufactured by vari-
ous structurally different processes, each of which
may generate disposable materials besides the
product(s). Often, materials participating in struc-
turally different processes can pose different risks.
Also, if a material produced by any process can be
safely disposed in an environmentally benign man-
ner, the risk associated with it is not always negli-
gible.
Materials possessing risk may be raw materials,
intermediates, or final products. These risks can be
reduced with additional expenditure for designing
and constructing the process. The extent of reduc-
tion depends on the interplay between economic,
environmental, toxicological or health-related fac-
tors. However, here we consider only the cost, waste
generation, and risk factors. Cost is defined as the
objective function to be minimized subject to the
additional constraints on both the second and third
factors.
Two types of risk indices are: (1) internal risk
associated with a material consumed within the
process, e.g., a raw material or intermediate, and (2)
an external risk index associated with a material
discharged to the environment, e.g., a disposable
material; both defined on the basis of unit amount
of material. The overall risk of a process is the sum
of the risk of all materials in the process. Each is
obtained as the sum of its internal and external
risks, and each is obtained by multiplying the amount
of the material and the corresponding risk index.
The branch-and-bound algorithm of process syn-
thesis incorporating integrated in-plant waste treat-
ment has been extended to include the consider-
ation of risk.
The first example has been revisited for risk con-
sideration. The enumeration tree of branch-and-
bound algorithm remains the same for the worst
case (Figure 15). The optimal solution with the inte-
grated in-plant waste treatment, resulting from the
subproblem corresponding to node # 14 does not
satisfy the constraint on risk; instead, subproblem
corresponding to node #17 gives rise to the optimal
© 2000 by CRC Press LLC
solution of the problem (Figure 16). Although the
cost of this solution is higher than that obtained
from the subproblem corresponding to node # 14, it
has the minimal cost among the solutions satisfying
the constraint on risk; the resultant structure is
given in Figure 16.
This algorithm generates the cost optimal solution
of synthesis problem, satisfying the constraints on
both waste generation and risk. It has been demon-
strated with an industrial process synthesis prob-
lem that the process optimal structure synthesized
by taking into account risk can be substantially
different from that by disregarding it.
Determining continuous parameters and discrete
parameters are decisions needed in designing a pro-
cess. They have different effects on production cost
and waste generation. The highest levels of the EPA
waste reduction hierarchy depend on the discrete
parameters, i.e., on its structure. While optimal val-
ues of the continuous parameters can be deter-
mined by almost any simulation program, the values
of the discrete parameters cannot be readily opti-
mized because of the large number of alternatives
involved. It is not possible to optimize the discrete
parameters of an industrial process incorporating
waste minimization. Thus, it is often done heuristi-
cally based on the designers experience. As the de-
cisions needed are interdependent, a systematic
method is required to carry them out consistently
and completely as shown below.
Suppose material A is produced from raw materi-
als D, F, and G by a process consisting of 5 operating
units shown in Figure 19 and 20. Operating units
are represented in Figures (a) and (b) for reactive
separator. The graph representation, a vertex for the
material, is different for that for an operating unit.
Thus, the graph is bipartite. The graphs for all of the
candidate operating units of the examples are shown
in Figure 25. These operating units can be linked
through an available algorithm, i.e., algorithm MSG
(Maximal Structure Generation — Figure 85 and
Figure 86), to generate the so called maximal struc-
ture of the process being designed. The maximal
structure contains all candidate process structures
capable of generating the product.
The set of feasible process structures can be gener-
ated by an available algorithm, algorithm SSG (So-
lution Structure Generation — Figure 87), from the
maximal structure. It is difficult to optimize indi-
vidually the process structures because of the very
large number of the structures involved.
Material in the maximal structure are
a. Materials that can not be produced by any op-
erating unit (purchased raw materials).
 b. Material that can be produced by only one op-
erating unit.
c. Materials that can be produced by two or more
alternative operating units.
Only case c above requires a decision. Here we
must select the operating unit(s) to be included in
the process producing this material. When design-
ing a process, decisions should not be made simul-
taneously for the entire set of materials in c because
the decisions may be interdependent. When the
maximal structure has been decided by algorithm
MSG, the major steps for designing the structure of
the process are
1. Determine set g of materials in class c.
2. Generate the feasible process structures by al-
gorithm SSG, optimize them individually by an
available process simulation program, select the
best among them, and stop if set g is empty or
it has been decided that no decision is to be
made for producing any material in this set.
Otherwise, proceed to step 3.
3. Select one material from set g and identify the
set of operating units producing it.
4. Decide which operating unit or units should
produce the selected material.
5. Update set g and return to step 2.
By applying the general stepwise procedure out-
lined above, this example has been solved as pre-
sented. In step 1, set g is determined as g = {A, A-E}.
If it is decided that no decision is to be made with
regard to material A or A-E, all feasible process
structures given in Figure (A) through (g) are gener-
ated by algorithm SSG. These structures can be
evaluated by a process simulation program.
If the number of feasible structures is to be re-
duced, a decision is needed whether to produce A or
A-E. This is done by selecting the former in step 3.
Operating units 1 and 2 can yield this material. In
step 4, operating unit 1 is selected from heuristic
rules or the knowledge base. Then set g, updated in
step 5, has only one element, material A-E and
returning to step 2 and knowing that no additional
decisions need to be made on the process structures
illustrated in Figures 25 (a) and (b). The structures
in Figure 25 (c) are generated by algorithm SSG.
To reduce the number of generated structures
further, additional decisions must be made on the
production of an element in set g. Since material A-
E is now the only material in set g, this material is
selected in set 3. Material A-E can be produced by
operating units 3 and 4: see later Figures. Suppose
that the decision in step 4, again based on heuristics
or knowledge bases, is to produce material A-E by
© 2000 by CRC Press LLC
operating unit 4. After executing step 5 and eventu-
ally returning to step 2, set g is found to be empty.
As a result only one process structure is generated
by algorithm SSG. This process structure is to be
evaluated (See Figures 20, 22, and 25).
In the design of an industrial process, the number
of possible structures is 3465 in this real example
for producing material A61 (Folpet) with the operat-
ing units listed in Figure 88 and the maximal struc-
ture listed as Figure 85. Materials A5, A14, A16,
A22, A24, A25, A48, and A61 belong to class c. If
operating unit 23 is selected for producing material
A14, then 584 different structures remain. With an
additional decision on material A61, the number of
structures is reduced to 9. This number is small
enough so that all the structures can be evaluated
by an available simulation or design program.
The solution-structures of an industrial process
synthesis problem with a set of M materials has 65
elements, M={A1, A2,.....A65}, where, R = {A1, A2.
A3, A4, A6, A7, A8, A11, A15, A17, A18, A19, A20,
A23, A27, A28, A29, A30, A34, A43, A47, A49, A52,
A54} is the set of raw materials. Moreover, 35 oper-
ating units are available for producing the product,
material A61. The solution structure of the problem
is given in Figure 87. The structure of Synphony is
outlined in Figure 89 as outlined by Dr. L. T. Fan.
An algorithm and a computer program were devel-
oped to facilitate the design decisions of the discrete
parameters of a complex chemical process to reduce
the number of processes to be optimized by a simu-
lation program. They are highly effective for both
hypothetical and real examples.
3.21 Kintecus
After encountering James Ianni’s work on Kintecus
on the Internet, I arranged an interview with him at
Drexel University. He is a graduate student in Met-
allurgical Engineering. The program models the re-
actions of chemical, biological, nuclear, and atmo-
spheric processes. It is extremely fast and can model
over 4,000 reactions in less than 8 megabytes of
RAM running in pure high speed 32-bit under DOS.
It has full output of normalized sensitivity coeffi-
cients that are selectable at any specified time. They
are used in accurate mechanism reduction, deter-
mining which reactions are the main sources and
sinks, which reactions require accurate rate con-
stants, and which ones can have guessed rate con-
stants. The program can use concentration profiles
of any wave pattern for any species or laser profile
for any hv. A powerful parser with mass and charge
balance checker is present for those reactions that
the OCR or operator entered incorrectly, yet the
model is yielding incorrect results or divergent re-
sults. The operator can also create an optional name
file containing common names for species and their
mass representation. The latter can be used for
biological and nuclear reactions. It is also possible
to have fractional coefficients for species. It can
quickly and easily hold one or more concentrations
of any species at a constant level. It has support for
photochemical reactions involving hv and Losesch-
midt’s number. It can model reactions from
fermtoseconds to years. It automatically generates
the spreadsheet file using the reaction spreadsheet
file. It can do reactions in a Continuous Stirred Tank
Reactor (CSTR) with multiple inlets and outlets. It
can compute all internal Jacobians analytically. This
is very useful for simulating very large kinetic mecha-
nisms (more than 1,000).
3.22 SWAMI
The Strategic Waste Minimization Initiative (SWAMI)
software program is a user friendly computer tool for
enhancing process analysis techniques to identify
waste minimization opportunities within an indus-
trial setting. It is involved in promoting waste reduc-
tion and pollution prevention at the source.
The software program assists the user in:
Simplifying the highly complex task of process
analysis of hazardous materials use, identifica-
tion, and tracking.
Storing process information for any future reas-
sessment and evaluation of pollution preven-
tion opportunities due to changes in process
design.
Simulating the effect of waste stream analysis
based on process changes in promoting pollu-
tion prevention alternatives.
Developing mass balance calculations for the
entire process and for unit operation by total
mass, individual chemical compounds, and spe-
cial chemical elements.
Performing cost benefit studies for one or more
feasible waste reduction or pollution prevention
solutions.
Prioritizing opportunity points by a cost of treat-
ment and disposal or volume of hazardous waste
generated.
Developing flow diagrams of material inputs,
process sequencing, and waste output streams.
© 2000 by CRC Press LLC
Identifying pollution prevention strategies and
concepts.
Consolidating pollution prevention and waste
information reports for in-house use and meet-
ing pollution prevention toxic material inven-
tory report requirements.
Interfacing with other EPA pollution prevention
tools including the “Waste Minimization Oppor-
tunity Assessment Manual,” the Pollution Pre-
vention Clearinghouse On-Line Bulletin Board
(PPIC), and the Pollution Prevention Economic
Software Program.
3.23 SuperPro Designer
Waste generation from process manufacturing facili-
ties is best accomplished when systematic pollution
prevention thinking is incorporated in the design
and development of such processes. To help,
Intelligen, Inc., has developed SuperPro Designer, a
comprehensive waste minimization tool for design-
ing manufacturing processes within environmental
constraints. SuperPro enables engineers to model
on the computer integrated manufacturing processes,
characterize waste streams, assess the overall envi-
ronmental impact, and readily evaluate a large num-
ber of pollution prevention options.
3.24 P2-EDGE Software
Pollution Prevention Environmental Design Guide
for Engineers (P2-EDGE) is a software tool designed
to help engineers and designers incorporate pollu-
tion prevention into the design stage of new prod-
ucts, processes and facilities to reduce life cycle
costs and increase materials and energy efficiency.
P2-EDGE is a project related software tool that pro-
vides more than 200 opportunities to incorporate
pollution prevention into projects during the design
phase. Each opportunity is supported by examples,
pictures, and references to help evaluate the appli-
cability and potential benefits to the project. Built-
in filters narrow the focus to only the opportunities
that apply, based on project size and design stage.
P2-EDGE displays a qualitative matrix to compare
the opportunities based on implementation diffi-
culty and potential cost savings. The program indi-
cates which stage of the project will realize pollution
prevention benefits (engineering/procurement, con-
struction, startup, normal operations, offnormal
operations, or decommissioning) and who will ben-
efit (the project, the site, the region, or global). If a
technology is recommended, P2-EDGE shows
whether that technology is currently available off It is an input to the process. It has 1 output
the the shelf or is still in development. stream:
stream 1 to node node 3 (mixer)
Flowsheeting on the World Wide Web Node 2 is a feed
This preliminary work describes a ‘flowsheeting’, It is an input to the process. It has 1 output
i.e., mass and energy balance computation, tool stream:
running across the WWW. The system will generate: stream 2 to node 3 (mixer)
Node 3 is a mixer
A 3-D flowsheet It has 2 input streams:
A hypertext document describing the process Stream 1 from node 1 (feed)
A mass balance model in a spreadsheet Stream 2 from node 2 (feed)
A set of physical property models in the spread- It has 1 output stream
sheet Stream 12 to node 4 (mixer)
Node 4 is a mixer
The prototype system does not have the first two and It has 2 input streams
last two features fully integrated, but all features Stream 12 from node 3 (mixer)
have been integrated. The illustration of the proto- Stream 3 from node 9 (splitter) .
type is with the Douglas HDA process. It has 1 output stream:
Stream 13 to node 5 (mixer)
1. Process description Node 5 is a mixer
2. Hypertext description and flowsheet, as gener- It has 2 input streams
ated Stream 13 from node 4(mixer)
3. Spreadsheet Stream 4 from node 11 (separator)
4. Physical property data It has 1 output stream
Stream 14 to node 6 (reactor)
Process Description Node 6 is a reactor
It has 1 input stream:
feed2, feed2,3 and 4 mix react and are sepa-
Stream 14 from node 5 (mixer)
rated into 5 and 6.
It has 1 output stream:
5 split into 3,7. Stream 15 to node 7 (reactor)
Node 7 is a reactor
6 separates to 8,9. Separates to 4 11. It has 1 output stream:
Stream 15 from node 6 (reactor)
Process Flowsheet It has 1 output stream:
Click here for flowsheet Stream 26 to node 8 (separator)
Node List Node 6 is a separator
Process contains 14 nodes: It has 1 input stream:
Stream 16 from node 7 (reactor)
Node 1 (feed) It has 2 output streams:
Node 2 (feed) Stream 5 to node 9 (splitter)
Node 3 (mixer) Stream 6 to node 10 (separator)
Node 4 (mixer) Node 9 is a splitter
Node 5 (mixer) It has 1 input stream:
Node 6 (reactor) Stream 5 from node 8 (separator)
Node 7 (reactor) It has output streams:
Node 8 (separator) Stream 3 to node 4 (mixer)
Node 9 (splitter) Stream 7 to node 12 (product)
Node 10 (separator) Node 10 is a separator
Node 11 (separator) It has 1 input stream
Node 12 (product) Steam 6 from node 8 (separator)
Node 13 (product) It has 2 output streams:
Node 14 (product) Stream 8 to node 13 (product)
Stream 9 to node 1l (separator)
Node 11 is a separator
Node Information It has 1 input stream:
Node 1 is a feed Stream 9 from node 10 (separator)

© 2000 by CRC Press LLC

 It has 2 output streams:
Stream 4 to node 5 (mixer)
Stream 11 to node 14 (product)
Node 12 is a product
It has 1 input stream:
Stream 7 from node 9 (splitter)
It is an output from the process
Node 13 is a product
It has 1 input stream
Stream 8 from node 10 (separator)
It is an output from the process
Node 14 is a product
It has 1 input stream:
Stream 11 from node 11 (separator)
It is an output from the process
Stream Information
Stream 2 from 1 (feed) to 3 (mixer)
Stream 2 from 2 (feed) to 3 (mixer)
Stream 3 from 9 (splitter) to 4 (mixer)
Stream 4 from 11 (separator) to 5 (mixer)
Stream 5 from 8 (separator) to 9 (splitter)
Stream 6 from 8 (separator) to 10 (separator)
Stream 7 from 9 (splitter) to 12 (product)
Stream 8 from 10 (separator) to 13 (product)
Stream 9 from 10 (separator) to 11 (separator)
Stream 11 from 11 (separator) to 14 (product)
Stream 12 from 3 (mixer) to 4 (mixer)
Stream 13 from 4 (mixer) to 5 (mixer)
Stream 14 from 5 (mixer) to 6 (reactor)
Stream 15 from 6 (reactor) to 7 (reactor)
Stream 16 from 7 (reactor) to 8 (separator)
Process contains 15 streams
A very simple language has been developed to
describe the topology of a process. It consists of
verbs which are processing operation names and
nouns which are stream numbers. Observe the HDA
plant description provided below.
“Feed 1, feed 2, 3 and 4 mix then react twice
and are separated into 5 and 6.
5 splits into 3, 7.
6 separates to 8 9, which separates to 4 11.”
3.25 CWRT Aqueous Stream
Pollution Prevention Design
Options Tool
This tool will contain a compilation of applied or
considered source reduction design option informa-
tion from industry that deals with aqueous effluent
streams. The information will include simple to com-
plex technologies and techniques, and specific tech-
nologies and combinations of technologies applied
to result in a reduced waste generation profile from
the facility or plant involved.
© 2000 by CRC Press LLC
3.26 OLI Environmental
Simulation Program (ESP)
The Environmental Simulation Program (ESP) is a
steady state process simulator with a proven record
in enhancing the productivity of engineers and sci-
entists. It has applications industry-wide and the
software is not only applied to environmental appli-
cations but to any aqueous chemical process.
A wide range of conventional and environmental
unit operations are available:
Mix Precipitator Feedforward
Split Extractor Crystallizer
Separate Component Split Clarifier
Neutralizer Incinerator Sensitivity
Absorber Compressor Membrane
VV(UF, RO)
Stripper Bioreactor Electrodialysis
Reactor Manipulate Saturator
Exchanger Controller Dehydrator
ESP provides the engineer or scientist accurate
answers to questions involving complete aqueous
systems. Design, debottlenecking, retrofitting,
troubleshooting, and optimizing of existing or new
processes is easy with ESP. Upstream waste minimi-
zation, as well as the waste treatment itself, is pos-
sible with ESP. The dynamic response of a process
can be studied using the dynamic simulation pro-
gram, DynaChem, to examine control strategy, po-
tential upsets, scheduled waste streams, controller
tuning, and startup/shutdown studies.
3.27 Process Flowsheeting and
Control
Process flowsheeting with multiple recycles and con-
trol loops are allowed. Feedforward and feedback
Controllers and Manipulate blocks help to achieve
process specifications.
Rigorous Biotreatment Modeling
Heterotrophic and autotrophic biological integration
is integrated with rigorous aqueous chemistry. Single
or multiple substrates are allowed. Substrates may
be specific molecules from the Databank or charac-
terized by ThOD, MW, or statistical stoichiometry.
Simultaneous physical (e.g., air stripping) and chemi-
cal (e.g., pH, trace components) effects are applied.
ESP provides for flexible configuration of biotreatment
processes, including sequential batch reactors and
clarifiers with multiple recycles.
Sensitivity Analysis
The sensitivity block allows the user to determine
easily the sensitivity of output results to changes in
Block Parameters and physical constants.
Dynamic Simulation with Control
Discrete dynamic simulation of processes with con-
trol can be accomplished and is numerically stable
using DynaChem. Studies of pH and compositional
control, batch treatment interactions, multistage
startup and shutdown, controller tuning, Multicas-
cade, and adaptive control are all possible.
Access to OLI Thermodynamic
Framework and Databank
All ESP computations utilize the OLI predictive ther-
modynamic model and have access to the large in-
place databank.
Access to OLI Toolkit
The Toolkit, including the Water Analyzer and OLI
Express, provides flexible stream definition and easy
single-case (e.g., bubble point) and parametric case
(e.g., pH sweep) calculations. This tool allows the
user to investigate and understand the stream chem-
istry, as well as develop treatment ideas before em-
barking on process flowsheet simulation. The Toolkit
also allows direct transfer of stream information to
other simulation tools for parallel studies.
3.28 Environmental Hazard
Assessment for Computer-
Generated Alternative Syntheses
The purpose of this project is to provide a fully
operational version of the SYNGEN program for the
rapid generation of all the shortest and least costly
synthetic routes to any organic compound of inter-
est. The final version will include a retrieval from
literature databases of all precedents for the reac-
tions generated. The intent of the program is to allow
all such alternative syntheses for commercial chemi-
cals to be assessed. Once this program is ready it
will be equipped with environmental hazard indica-
tors, such as toxicity, carcinogenicity, etc., for all
the involved chemicals in each synthesis, to make
possible a choice of alternative routes of less envi-
ronmental hazard than any synthesis currently in
use.
3.29 Process Design for
Environmentally and Economically
Sustainable Dairy Plant
Major difficulties in improving economics of current
food production industry such as dairy plants origi-
© 2000 by CRC Press LLC
nate from problems of waste reduction and energy
conservation. A potential solution is a zero discharge
or a dry floor process which can provide a favorable
production environment. In order to achieve such
an ideal system, we developed a computer-aided
wastewater minimization program to identify the
waste problem and to obtain an optimized process.
This method can coordinate the estimation proce-
dure of water and energy distribution of a dairy
process, MILP (Mixed Integer Linear Programming)
formulation, and process network optimization. The
program can specify the waste and energy quantities
of the process streams by analyzing audit data of the
plant. It can show profiles of water and energy de-
mand and wastewater generation, which are nor-
mally functions of the production amount and the
process sequence. Based on characterized streams
in the plant, wastewater storage tanks and mem-
brane separation units have been included in the
waste minimization problem to search for cost-effec-
tive process based on MILP models. The economic
study shows that cost of an optimized network is
related to wastewater and energy charges, profit
from by-products, and equipment investments.
3.30 Life Cycle Analysis (LCA)
Industry needs to know the environmental effect of
its processes and products. Life Cycle Analysis (LCA)
provides some of the data necessary to judge envi-
ronmental impact. An environmental LCA is a means
of quantifying how much energy and raw material
are used and how much (solid, liquid and gaseous)
waste is generated at each stage of a product’s life.
|———————|—waste heat
Raw
Vmaterials ——| |—solid waste
| |—emission to air
| |—emissions to water
Energy/
fuels —————| |—usable products
|———————|
The main purpose of an LCA is to identify where
improvements can be made to reduce the environ-
mental impact of a product or process in terms of
energy and raw materials used and wastes pro-
duced. It can also be used to guide the development
of new products.
It is important to distinguish between life cycle
analysis and life cycle assessment. Analysis is the
collection of the data. It produces an inventory;
assessment goes one step further and adds an evalu-
ation of the inventory.
 Environmentalists contend that zero chlorine in-
put to the industrial base means zero chorinated
toxins discharged to the environment. Industry ex-
perts claim that such a far reaching program is
unnecessary and will have large socioeconomic im-
pacts. Environmentalists have responded with the
argument that overall socioeconomic impacts will be
small since there are adequate substitutes for many
of the products that currently contain chlorine.
3.31 Computer Programs
Free radicals are important intermediates in natural
processes involved in cytotoxicity, control of vascu-
lar, tone, neurotransmission. The chemical kinetics
of free-radical reactions control the importance of
competing pathways. Equilibria involving protons
often influence the reaction kinetics of free radicals
important in biology. Free radicals are very impor-
tant in atmospheric chemistry and mechanisms.
Yet, little is known about their physical or biological
properties.
In 1958, White, Johnson, and Dantzig (at Rand)
published an article entitled “Chemical Equilibrium
in Complex Mixtures.” It was a method that calcu-
lated chemical equilibrium by the method of the
minimization of free energy. It was an optimization
problem in non-linear programming and was used
in industry and in defense work on main frame
computers. PCs were not available at that time. Also,
environmental matters were not as much of a con-
cern as they are now.
The literature and computer sites on Geographic
Information Sytems (GIS) are rife with a tremendous
amount of information. The number of such maps
are increasing greatly every day as exploration, as-
sessment, and remediation proceeds across the world
wherever environmental work is taking place.
There are many software programs for geotechnical
and geo-environmental and environmental model-
ing. They are in the category of contaminant model-
ing. Most of them are in the DOS platform and are
public domain.
Massively parallel computing systems provide an
avenue for overcoming the computational require-
ments in the study of atmospheric chemical dynam-
ics. The central challenge in developing a parallel air
pollution model is implementing the chemistry and
transport operators used to solve the atmospheric
reaction-diffusion equation. The chemistry operator
is generally the most computationally intensive step
in atmospheric air quality models. The transport
operator (advection equation) is the most challeng-
ing to solve numerically. Both of these have been
improved in the work of Dabdub and Seinfeld at Cal.
Tech. and have been improved in the next genera-
© 2000 by CRC Press LLC
tion of urban and regional-scale air quality models.
HPCC (High Performance Computing and Commu-
nications) provides the tools essential to develop our
understanding of air pollution further.
EPA has three main goals for its HPCC Program
activities:
Advance the capability of environmental assess-
ment tools by adapting them to a distributed
heterogeneous computing environment that in-
cludes scalable massively parallel achitectures.
Provide more effective solutions to complex en-
vironmental problems by developing the capa-
bility to perform multipollutant and multimedia
pollutant assessments.
Provide a computational and decision support
environment that is easy to use and responsive
to environmental problem solving needs to key
federal, state and industrial policy-making or-
ganizations.
Thus, EPA participates in the NREN, ASTA, IITA,
and BRHR components of the HPCC Program, where:
NREN: increasing access to a heterogeneous com-
puting environment, ASTA: environmental assess-
ment grand challenges, IITA: enhancing user access
to environmental data and systems, BRHR: broad-
ening the user community tools by adapting them to
a distributed heterogeneous computing environment
that includes scalable massively parallel architec-
tures.
Environmental modeling of the atmosphere is most
frequently performed on supercomputers. UAM-
GUIDES is an interface to the Urban Airshed Model
(UAM). An ozone-compliance simulator is required
by the Clean Air Act of 1990, so that modeling
groups across the United States have asked the
North Carolina Supercomputing Center (NCSC) to
develop a portable version. NCSC’s Environmental
Programs Group used the CRAY Y-MP system, a
previous-generation parallel vector system from Cray
Research to develop UAMGUIDES as a labor-saving
interface to UAM. Running UAM is very complex.
The Cray supercomputers have, since then, been
upgraded. Computational requirements for model-
ing air quality have increased significantly as mod-
els have incorporated increased functionality, cov-
ered multi-day effects and changed from urban scale
to regional scale. In addition, the complexity has
grown to accommodate increases in the number of
chemical species and chemical reactions, the effects
of chemical particle emissions on air quality, the
effect of physical phenomena, and to extend the
geographical region covered by the models.
 The effects of coal quality on utility boiler perfor-
mance are difficult to predict using conventional
methods. As a result of environmental concerns,
more utilities are blending and selecting coals that
are not the design coals for their units. This has led
to a wide range of problems, from grindability and
moisture concerns to fly ash collection. To help
utilities predict the impacts of changing coal quality,
the Electric Power Research Institute (EPRI) and the
U.S. Department of Energy (DOE) have initiated a
program called Coal Quality Expert (CQE). The pro-
gram is undertaken to quantify coal quality impacts
using data generated in field-, pilot-, and laboratory-
scale investigations. As a result, FOULER is a mecha-
nistic model placed into a computer code that pre-
dicts the coal ash deposition in a utility boiler and
SLAGGO is a computer model that predicts the ef-
fects of furnace slagging in a coal-fired boiler.
In Europe, particularly Prof. Mike Pilling and Dr.
Sam Saunders at the Department of Chemistry at
the University of Leeds, England, have worked on
tropospheric chemistry modeling and have had a
large measure of success. They have devised the
MCM (Master Chemical Mechanism), a computer
system for handling large systems of chemical equa-
tions, and were responsible for quantifying the po-
tential that each VOC exhibits to the development of
the Photochemical Ozone Creation Potential (POCP)
concept. The goal is to improve and extend the
Photochemical Trajectory Model for the description
of the roles of VOC and NOx in regional scale photo-
oxidant formation over Europe. In their work they
use Burcat’s “Thermochemical Data for Combustion
Calculations” in the NASA format.
Statistical methods, pattern recognition methods,
neural networks, genetic algorithms and graphics
programming are being used for reaction prediction,
synthesis design, acquisition of knowledge on chemi-
cal reactions, interpretation and simulation of mass
spectra analysis and simulation of infrared spectra,
analysis and modeling of biological activity, finding
new lead structures, generation of 3D-dimensional
molecular models, assessing molecular similarity,
prediction of physical, chemical, and biological prop-
erties, and databases of algorithms and electronic
publishing. Examples include the course of a chemi-
cal reaction and its products for given starting ma-
terials using EROS (Elaboration of Reactions for
Organic Synthesis) where the knowledge base and
the problem solving techniques are clearly sepa-
rated. Another case includes methods for defining
appropriate, easily obtainable starting materials for
the synthesis of desired product. This includes the
individual reaction steps of the entire synthesis plan.
It includes methods to derive the definition of struc-
tural similarities between the target structure and
© 2000 by CRC Press LLC
available starting materials, finding strategic bonds
in a given target, and rating functions to assign
merit values to starting materials. Such methods are
integrated into the WODCA system (Workbench for
the Organization of Data for Chemical Application).
In 1992 the National Science Foundation was al-
ready looking to support work for CBA (Computa-
tional Biology Activities); software for empirical analy-
sis and/or simulation of neurons or networks of
neurons; for modeling macromolecular structure and
dynamics using x-ray, NMR or other data; for simu-
lating ecological dynamics and analyzing spatial and
temporal environmental data; for improvement of
instrument operation; for estimation of parameters
in genetic linkage maps; for phylogenetic analysis of
molecular data; and for visual display of biological
data. They were looking for algorithm development
for string searches; multiple alignments; image re-
construction involving various forms of microscopic,
x-ray, or NMR data; techniques for aggregation and
simplification in large-scale ecological models; opti-
mization methods in molecular mechanics and mo-
lecular dynamics, such as in the application to pro-
tein folding; and spatial statistical optimization.
They sought new tools and approaches such as
computational, mathematical, or theoretical ap-
proaches to subjects like neural systems and cir-
cuitry analysis, molecular evolution, regulatory net-
works of gene expression in development, ecological
dynamics, physiological processes, artificial life, or
ion channel mechanisms.
There has been constructive cross-fertilization
between the mathematical sciences and chemistry.
Usually in QSAR methods, multiple linear or non
linear regression, classical multivariate statistical
techniques were used. Then discriminant analysis,
principal components regression, factor analysis,
and neural networks were used. More recently par-
tial least squares (PLS), originally developed by a
statistician for use in econometrics, has been used
and this has prompted additional statistical research
to improve its speed and its ability to forecast the
properties of new compounds and to provide mecha-
nisms to include nonlinear relations in the equa-
tions. QSAR workers need a new method to analyze
matrices with thousands of correlated predictors,
some of which are irrelevant to the end point. A new
company was formed called Arris with a close col-
laboration of mathematicians and chemists that
produced QSAR software that examines the three-
dimensional properties of molecules using techniques
from artificial intelligence.
Historically, mathematical scientists have worked
more closely with engineers and physicists than
with chemists, but recently many fields of math-
ematics such as numerical linear algebra, geometric
topology, distance geometry, and symbolic computa-
tion have begun to play roles in chemical studies.
Many problems in computational chemistry require
a concise description of the large-scale geometry and
topology of a high-dimensional potential surface.
Usually, such a compact description will be statisti-
cal, and many questions arise as to the appropriate
ways of characterizing such a surface. Often such
concise descriptions are not what is sought; rather,
one seeks a way of fairly sampling the surface and
uncovering a few representative examples of simula-
tions on the surface that are relevant to the appro-
priate chemistry. An example is a snapshot or typi-
cal configuration or movie of a kinetic pathway.
Several chemical problems demand the solution of
mathematical problems connected with the geom-
etry of the potential surface. Such a global under-
standing is needed to be able to picture long time
scale complex events in chemical systems. This in-
cludes the understanding of the conformation tran-
sitions of biological molecules. The regulation of
biological molecules is quite precise and relies on
sometimes rather complicated motions of a biologi-
cal molecule. The most well studied of these is the
so-called allosteric transition in hemoglobin, but
indeed, the regulation of most genes also relies on
these phenomena. These regulation events involve
rather long time scales from the molecular view-
point. Their understanding requires navigating
through the complete navigation space. Another such
long-time scale process that involves complex orga-
nization in the configuration space is bimolecular
folding itself.
Similarly, specific kinetic pathways are important.
Some work has been done on how the specific path-
ways can emerge on a statistical energy landscape.
These ideas are, however, based on the quasi-equi-
librium statistical mechanics of such systems, and
there are many questions about the rigor of this
approach. Similarly, a good deal of work has been
carried out to characterize computationally path-
ways on complicated realistic potential energy sur-
faces. Techniques based on path integrals have been
used to good effect in studying the recombination of
ligands in biomolecules and in the folding events
involved in the formation of a small helix from a
coiled polypeptide. These techniques tend to focus
on individual optimal pathways, but it is also clear
that sets of pathways are very important in such
problems. How these pathways are related to each
other and how to discover them and count them is
still an open computational challenge.
The weak point in the whole scenario of new drug
discovery has been identification of the “lead.” There
may not be a good lead in a company’s collection.
© 2000 by CRC Press LLC
The wrong choice can doom a project to never find-
ing compounds that merit advanced testing. Using
only literature data to derive the lead may mean that
the company abandons the project because it can-
not patent the compounds found. These concerns
have led the industry to focus on the importance of
molecular diversity as a key ingredient in the search
for a lead. Compared to just 10 years ago, orders of
magnitude more compounds can be designed, syn-
thesized, and tested with newly developed strate-
gies. These changes present an opportunity for the
imaginative application of mathematics.
There are three aspects to the problem of selecting
samples from large collections of molecules: First,
what molecular properties will be used to describe
the compounds? Second, how will the similarity of
these properties between pairs of molecules be quan-
tified? Third, how will the molecules be paired or
quantified?
For naturally occurring biomolecules, one of the
most important approaches is the understanding of
the evolutionary relationships between macromol-
ecules. The study of the evolutionary relationship
between biomolecules has given rise to a variety of
mathematical questions in probability theory and
sequence analysis. Biological macromolecules can
be related to each other by various similarity mea-
sures, and at least in simple models of molecular
evolution, these similarity measures give rise to an
ultrametric organization of the proteins. A good deal
of work has gone into developing algorithms that
take the known sequences and infer from these a
parsimonious model of their biological descent.
An emerging technology is the use of multiple
rounds of mutation, recombination, and selection to
obtain interesting macromolecules or combinatorial
covalent structures. Very little is known as yet about
the mathematical constraints on finding molecules
in this way, but the mathematics of such artificial
evolution approaches should be quite challenging.
Understanding the navigational problems in a high-
dimensional sequence space may also have great
relevance to understanding natural evolution. Is it
punctuated or is it gradual as many have claimed in
the past? Artificial evolution may obviate the need to
completely understand and design biological mol-
ecules, but there will be a large number of interest-
ing mathematical problems connected with the de-
sign.
Drug leads binding to a receptor target can be
directly visualized using X-ray crystallography. There
is physical complexity because the change in free
energy is complex as it involves a multiplicity of
factors including changes in ligand bonding (with
both solvent water and the target protein), changes
in ligand conformation or flexibility, changes in ligand
polarization, as well as corresponding changes in in
the target protein.
Now structural-property refinement uses parallel
synthesis to meet geometric requirements of a target
receptor binding site. Custom chemical scaffolds are
directed to fit receptor binding sites synthetically
elaborated through combinatorial reactions. This may
lead to thousands to millions of members, while
parallel automated synthesis is capable of synthe-
sizing libraries containing of the order of a hundred
discrete compounds. Structure property relation-
ships are then supplied to refine the selection of
sub-libraries. 3D structural models, SAR bioavail-
ability and toxicology are also used in such searches.
Additional 3D target-ligand structure determinations
are used to iteratively refine molecular properties
using more traditional SAR methods.
In the Laboratory for Applied Thermodynamics
and Phase Equilibria Research, an account of a
Computer Aided Design of Technical Fluids is given.
The environmental, safety, and health restrictions
impose limitations on the choice of fluids for sepa-
ration and energy processes. Group contribution
methods and computer programs can assist in the
design of desired compounds. These compounds and
mixtures have to fulfill requirements from an inte-
grated point of view. The research program includes
both the design of the components and the experi-
mental verification of the results.
The Molecular Research Institute (MRI) is working
in many specific areas, among which are Interdisci-
plinary Computer-Aided Design of Bioactive Agents
and Computer-Aided Risk Assessment and Predic-
tive Toxicology, and all kinds of models for compli-
cated biological molecules. The first area, cited above,
designs diverse families of bioactive agents. It is
based on a synergistic partnership between compu-
tational chemistry and experimental pharmacology
allowing a more rapid and effective design of bioactive
agents. It can be adapted to apply to knowledge of
the mechanisms of action and to many types of
active systems. It is being used for the design of CNS
active therapeutic agents, particularly opioid nar-
cotics, tranquilizers, novel anesthetics, and the de-
sign of peptidomimetics. In Computer-Aided Risk
Assessment they have produced strategies for the
evaluation of toxic product formation by chemical
and biochemical transformations of the parent com-
pound, modelling of interactions of putative toxic
agents with their target biomacromolecules, deter-
mination of properties leading to toxic response, and
use of these properties to screen untested com-
pounds for toxicity.
© 2000 by CRC Press LLC
3.32 Pollution Prevention by
Process Modification Using On-
Line Optimization
Process modification and on-line optimization have
been used to reduce discharge of hazardous materi-
als from chemical and refinery processes. Research
has been conducted at three chemical plants and a
petroleum refinery that have large waste discharges.
The research has been done where development of
process modification methodology for source reduc-
tion has been accomplished. The objective is to com-
bine these two important methods for pollution pre-
vention and have them share process information to
efficiently accomplish both tasks.
Process modification research requires that an
accurate process model be used to predict the per-
formance of the plant and evaluate changes pro-
posed to modify the plant to reduce waste discharges.
The process model requires precise plant data to
validate that the model accurately describes the
performance of the plant. This precise data is ob-
tained from the gross error detection system of the
plant. In addition, the economic model from the
process optimization step is used to determine the
rate of return for the proposed process modifica-
tions. Consequently, a synergism from the two meth-
ods for pollution prevention and Process Modifica-
tion have selected important processes for their
application. Moreover, cooperation of companies has
been obtained to apply these methods to actual
processes rather than to simulated generic plants.
3.33 A Genetic Algorithm for the
Automated Generation of
Molecules Within Constraints
A genetic algorithm has been designed which gener-
ates molecular structures within constraints. The
constraints may be any useful function such as
molecular size.
3.34 WMCAPS
A system is herein proposed that uses coding theory,
cellular automata, and both the computing power of
Envirochemkin and a program that computes chemi-
cal equilibrium using the minimization of the chemi-
cal potential. The program starts with the input
ingredients defined as the number of gram-atoms of
each chemical element as
bi , i = 1, 2, 3, 4. ....
Now if aij is the number of gram-atoms of i in the jth
chemical compound and xj is the number of moles of
the jth chemical compound we have two equations
or constraints
∑nj=1 aijxj = bi i = 1,.....,m
xj > 0 j = 1,......,n
with n >= m. Subject to these constraints it is de-
sired to minimize the total Gibbs free energy of the
system.
∑jn=1 cj xj + ∑nj=1 x log (xj /∑ni=1xi)
where cj = Fj/RT + log P
Fj = Gibbs energy per mole of jth gas at
temperature T and unit atmospheric
pressure
R = universal gas constant
My experience is that this method works like a
charm on a digital computer and is very fast.
Now we have the equilibrium composition at the
given temperature and pressure in our design for
our industrial plant. This is a very important first
step. However our products must go through a se-
ries of other operations at different conditions. Also,
our products are at their equilibrium values and
they may not be allowed to reach their true values
for the residence time in the reactor. This is where
Envirochemkin comes in. Starting with the equilib-
rium values of each compound, it has rate constants
for each reaction in the reactor and again at the
proper temperature and pressure will calculate the
concentration of each compound in the mixture.
© 2000 by CRC Press LLC
This will be a deviation from the equilibrium value
for most cases.
It is important to note that both the above program
and Envirochemkin come with a very large data file
of thermodynamic values for many species. The val-
ues that are given are standard enthalpy and en-
tropy and also heat capacity over a wide range. This
allows the program to take care of phase change
over the many unit operations that compose an
industrial plant.
There is a third program used and that is
SYNPROPS. Let us say that we have a reaction in
our plant that leads to what we want except that one
percent of the product is a noxious, toxic, and haz-
ardous compound that we wish to eliminate. We
then set many of the properties (especially the toxic
properties) of a molecule that is virtual equal to our
unwanted species and also set the stoichiometric
formula of this virtual molecule also equal to that of
the unwanted molecule. This data is put into the
SYNPROPS spreadsheet to find the kin of the un-
wanted molecule that is benign.
A fourth program is then used called THERM. We
use it to show whether the reaction of the mix in the
reactor to form the benign substitution is thermody-
namically of sufficient magnitude to create the be-
nign molecule and decrease the concentration of the
unwanted molecule to below a value that will not
cause any risk to be above that of significance.
The industrial plant may be composed of many
different unit operations connected in any particular
sequence. However, particular sequences favor bet-
ter efficacy and waste minimization and the opti-
mum sequence, of course, is the best. In order to
find the best among the alternatives we have used a
hierarchical tree and in order to depict the flowsheet
we use CA (cellular automata).
 Part IV. Computer Programs for the Best Raw
Materials and Products of Clean Processes
4.1 Cramer’s Data and the Birth of
Synprops
Cramer’s data (Figures 43 and 44) is in the table of
group properties. Results so obtained were from
extensive regressions on experimental data from
handbooks and were tested and statistically ana-
lyzed. The data was used to predict physical proper-
ties for other compounds than those used to derive
the data. In this work, optimization procedures are
combined with the Cramer data (in an extended
spreadsheet), and applied for Pollution Prevention
and Process Optimization. In addition, Risk Based
Concentration Tables from Smith, etc., are included
as constraints to ensure that the resulting compos-
ite structures are environmentally benign.
During the course of many years, scientists have
recognized the relationship between chemical struc-
ture and activity. Pioneering work has been done by
Hammett in the 1930s, Taft in the 1950s, and Hansch
in the 1960s. Brown also recognized the relation
between steric effects and both properties and reac-
tions. QSAR methodologies were developed and used
in the areas of drug, pesticide, and herbicide re-
search. In the 1970s, spurred by the increasing
number of chemicals being released to the environ-
ment, QSAR methods began to be applied to envi-
ronmental technology.
Meanwhile, the hardware and software for per-
sonal computers have been developing very rapidly.
Thus the treatment of many molecules through their
composite groups and the connection with their
properties becomes an exercise of obtaining good
data to work with. A Compaq 486 Presario PC with
a Quattro Pro (version 5.0) program was available. In
the “Tools” part of the program is an Optimizer
program, which was used in this work. The technol-
ogy of the modern PC was matched with the power
of mathematics to obtain the following results. The
values of the parameters B, C, D, E, and F for thirty-
six compounds are shown in Figure 41 and used to
obtain physical properties and Risk Based Concen-
trations.
© 2000 by CRC Press LLC
4.2 Physical Properties form
Groups
It has also been known that a wide range of proper-
ties can be derived using The Principle of Corre-
sponding States which used polynomial equations
in reduced temperature and pressure. In order to
obtain the critical properties needed for the reduced
temperature and reduced pressure, the critical con-
stants are derived from the parameters for the groups
of which the molecules are composed.
Thus, the treatment of many molecules through
their composite groups and the connection with their
properties becomes an exercise of obtaining good
data to work with. This is particularly difficult for
drug and ecological properties that are not in the
public domain.
Cramer’s method consisted of applying regressions
to data from handbooks, such as the Handbook of
Chemistry and Physics, etc., to fit the physical prop-
erties of molecules with the groups comprising their
structures. The results considered about 35 groups
and were used in the Linear-Constitutive Model and
a similar number of groups (but of a different na-
ture) were used in the Hierarchical Additive-Consti-
tutive Model. Statistically a good fit was found and
the prediction capabilities for new compounds were
found to be excellent.
Twenty-one physical properties were fitted to the
structures. The Properties (together with their di-
mensions) were Log activity coefficient and Log par-
tition coefficient (both dimensionless), Molar refrac-
tivity (cm3/mol), Boiling point (degrees C.), Molar
volume (cm3/mol), Heat of vaporization (kcal./mol),
Magnetic susceptibility (cgs molar), Critical tempera-
ture (degrees C.), Van der Waals A1/2 (L atm1/2/mol),
Van der Waals B (L/mol), Log dielectric constant
(dimensionless), Solubility parameter (cal/cm3), Criti-
cal pressure (atm.), Surface Tension (dynes/cm),
Thermal Conductivity (104 × (cals-1cm-2(cal/cm)-1),
Log viscosity (dimensionless), Isothermal (m2/mol ×
1010), Dipole moment (Debye units), Melting point
(degrees C), and Molecular weight (g./mol). Later the
equations for molar volume (Bondi scheme) and molar
refractivity (Vogel scheme) were included as were
equations for the Log Concentration X/Water, where
X was ether, cyclohexane, chloroform, oils, benzene
and ethyl alcohol, respectively. Risk-Based Concen-
trations and Biological Activity equations were also
included. The units of the molar volume by the
Bondi technique is 22 cm3/mole and the other newer
equations have dimensionless units.
The Hierarchical Model (Figure 43), shows the
parameters for the groups in five columns. This was
set up in a spreadsheet and the structure of each
molecule was inserted as the number of each of the
groups that comprised the molecule. The sum of
each column then being called B, C, D, E, and F
after the parameters in each column multiplies the
number of appropriate groups. In Figures 43 and
44, the column B contains the variables, which are
the number of each of the groups denoted in column
A, and these can be manually set to find the values
of the parameters B, C, D, E, and F, or determined
automatically by the optimizer program. Columns N
and O essentially repeat columns A and B, respec-
tively, except near the bottom where there are equa-
tions to determine the number of gram-atoms of
each chemical element for the molecule whose groups
are currently displayed in column B. The top and
bottom of column O and all of column Q have em-
bedded in them formulas for physical properties,
activities or Risk Based Concentrations in the gen-
eral linear combination equation
Pij = ai + biBj + ciCj + diDj + eiEj + fiFj
The i subscripts stand for different properties and
the j subscripts indicate different molecules. The
values for B, C, D, E, and F are found in cells D111,
F111, H111, J111, and L111, respectively, and are
linear equations in terms of all the group entries in
column B.
It is seen that the spreadsheets (Figures 42 and
43) are like the blueprints of a molecule whose
structure is the composite of the numbers in column
B and whose properties are given in column O and
Q. The quantities B...F are the conversion factors of
the numbers in column B to the properties in col-
umns O and Q. In this manner they are analogous
to the genes (5 in this case) in living systems. Values
for B, C, D, E, and F are shown for thirty-six of the
most hazardous compounds found on Superfund
sites in Figure 41.
Linear graphs were drawn that show how the pa-
rameters B, C, and D vary with the molecular groups.
Also constructed were graphs of how the parameters
B, C, D, E, and F vary with the groups on spiral or
special radar graphs. This was collated for all the
© 2000 by CRC Press LLC
parameters and all the groups on one spiral graph.
Also the values for all the hazardous compound were
shown on a linear graph. A regression fits the plot of
the parameter B versus the groups on a spiral plot.
A good fit was also obtained for the parameters C, D,
E, and F as well.
The Linear Model Spreadsheet is shown in Figure
44. It is exactly similar to another table called the
Hierarchical Model except that it uses groups that
are different. The Hierarchical Model Spreadsheet is
shown in Table II.
4.3 Examples of SYNPROPS
Optimization and Substitution
Some of the results for the Linear Model (using 21
groups) are indicated below:
1. Substitutes for Freon-13 can be CF3CL (a re-
dundancy) or CHBRFCH3,
2. Substitutes for Freon-12 can be CF2CL2 (a re-
dundancy) or CHF2CL.
3. Substitutes for alanine can be: C(NH2)3CN or
CH(CONH2)2CN or CH(CCF3)BR or
CH(CF3)CONH2,
4. A substitute for CH3CL3 can be CF3I,
5. Substitutes for 1,1-dichloroethylene can be
CH2=CHOH and CH2=CHNO2.
If these substitute compounds do not fit exactly to
the desired properties, they can serve as the starting
point or as precursors to the desired compounds.
Skeleton compounds were used to find the best
functional groups for each property. As examples
the Linear Model and 21 groups were used with the
>C< skeleton (4 groups allowed) and the constraints:
1. Tc is a maximum: C(-NAPTH)2(CONH2)2,
2. Critical pressure smaller or equal to 60, Boiling
Point greater or equal to 125, Solubility Param-
eter greater or equal to 15: CF2(OH)2,
3. Heat of Vaporization a maximum: C(CONH2)4,
4. Heat of Vaporization a minimum: CH4,
5. Log Activity Coefficient greater or equal to 6,
Log Partition Coefficient smaller or equal to -2,
Critical Pressure equal to 100:,
C(CN)2NO2CONH2,
6. Minimum Cost: CH4,
7. Maximum Cost: C(NAPTH)4,
8. Maximum Cost with Critical Temperature greater
or equal to 600, Critical Pressure greater or
equal to 100: C(NAPTH)2I(CONH2),
9. Minimum Cost with Critical Temperature greater
or equal to 600, Critical Pressure equal to 60:
CH(OH)(CN)2.
 Results for some of the runs made to ascertain
which groups confer maximum and/or minimum
properties to a substance follow, using the >C< skel-
eton. They show COOH for maximum magnetic sus-
ceptibility, minimum Activity Coefficient, maximum
Log Partition Coefficient, maximum Heat of Vapor-
ization, maximum Surface Tension, and Viscosity.
NH2 conferred minimum Critical Pressure and maxi-
mum Activity Coefficient. C=O occurred for mini-
mum Dipole Moment, minimum Log Partition Coef-
ficient, and minimum Viscosity; NO2 occurred for
minimum Critical Temperature and minimum Sur-
face Tension; CL appeared for maximum Dielectric
Constant; CONH2 appeared for minimum Critical
Temperature; OH appeared for minimum Boiling
Point; and F for minimum Heat of Vaporization.
An optimization leading to a most desired struc-
ture with non-integer values showed 8.67 hydrogen
atoms, 1.88 cyclohexane groups, and 5.41 >C<
groups. This is a string of >C< groups attached to
each other with a proper number of cyclohexane
rings and hydrogens attached. This was rounded off
to 8 hydrogens, 2 cyclohexane rings, and 5 >C<s.
Results show that a resulting molecule, cyclopentane
with 8 hydrogens and 2 cyclohexane groups ap-
pended, satisfies most of the desired physical prop-
erties very well.
The hierarchical model was used to find the best
substitution model for methyl chloroform or 1,1,1-
trichloroethane. It was CH3CH2.8(NO2)0.2, if the
melting point, boiling point, and log of the ratio of
the equilibrium concentration of methyl chloroform
in octanol relative to its concentration in water are
taken from the literature. The result was also ob-
tained by constraining the molecule to be C-C sur-
rounded by six bonds. This is a hydrocarbon in
accord with practical results and that of S.F. Naser.
In the same way, TCE’s substitute (constrained
to be C=C surrounded by four bonds) was
C=CI0.383(CONH2)1.138(NO2)2.480 and PCE’s sub-
stitute was C=CI3COOH.
The precision goal of the fit between predicted and
actual Risk Based Concentrations was for adequate
internal program control or constraint purposes.
Comparisons between predicted and actual Risk
Based Concentrations for air are shown in a Figure
contained in a previous book, Computer Generated
Physical Properties by the author. Tapwater, soils,
and MCL results are similarly contained.
A SYNPROPS run that searched for a substitute
for carbon tetrachloride, CCL4, is shown in Table VI.
Also tables for freons are shown in the freon tables
for (CF3CH2F), R125 (CF3CHF2), HFC-338mccq
(CF3CF2CF2CH2F), R32 (CH2F2), and hfc-245fa
(CF3CH2CHF2) One can print out the intermediate
results of a search, where the first result indicates
© 2000 by CRC Press LLC
that for the original compound, CCl4, the second
that for an intermediate SYNPROP result sheet on
the way to an answer and the last the result that was
the one the process found closest to the final an-
swer. This last one cited for a substitute for CCl4
was a compound with about 9 -CH=CH- groups and
about 8 -CH=CH2 endcap groups indicating a highly
olefinic molecule with the Air-Risk Concentration
rising from about 1.7 to 94000 with the solubility
parameter remaining constant at 10.2.
A similar run with 1,1,1-trichloroethane is shown
in three Tables, where the Air-Risk Concentration
rose from 3.2 to 164, while the solubility parameter
remained fairly constant, changing from 8.75 to
8.96. The molecule that was formed had 2 -CH=CH-
groups and 2-CH=CH2 groups similar to the above
but had to add a small amount of the naphthyl
group. The molecule C(NAPTH)4 had an Air Risk-
Concentration of 26000 and when the unlikely mol-
ecule, C14(NAPTH)30, was inserted in SYNPROPS,
the Air Risk-Concentration 2.6 E+27 was predicted
indicating that this group needs a revision of data.
The tables in Figures 43 and 44 show that a
compound such as CCL2=CCL2 can be formed from
the molecule in the Linear spreadsheet Mode by
taking 1 >C=CH2 and -2 for -H and 4 -CL groups.
Thus one can use negative numbers when the need
arises. Notice that the Air Risk -Concentration here
is 0.17 and the solubility parameter is 12.5.
4.4 Toxic Ignorance
For most of the important chemicals in American
commerce, the simplest, safest facts still cannot be
found. Environmental Defense Fund research indi-
cates that, today, even the most basic toxicity test-
ing results cannot be found in the public record for
nearly 75% of the top-volume chemicals in commer-
cial use.
The public cannot tell if a large majority of the
highest-use chemicals in the United States pose
health hazards or not — much less how serious the
risks might be, or whether those chemicals are ac-
tually under control. These include chemicals that
we are likely to breathe or drink, that build up in our
bodies, that are in consumer products, and that are
being released from industrial facilities into our
backyards, streets, forests, and streams.
In 1980, the National Academy of Science National
Research Council completed a four-year study and
found that 78% of the chemicals in highest-volume
commercial use had not even “minimal” toxicity test-
ing. No improvement was noted 13 years later. Con-
gress promised 20 years ago that the risk of toxic
chemicals in our environment would be identified
and controlled. That promise is now meaningless.
The chemical manufacturing industry itself must
now take direct responsibility in solving the chemi-
cal ignorance problem.
The first steps are simple screening tests that
manufacturers of chemicals can easily do. All high-
volume chemicals in the U.S. should have been
subjected to at least preliminary health-effects
screening with the results publicly available. A model
definition of what should be included in preliminary
screening tests for high-volume chemicals was de-
veloped and agreed on in 1990 by the U.S. and the
other member nations of the Organization for Eco-
nomic Cooperation and Development, with extensive
participation from the U.S. Chemical Manufacturing
industry.
4.5 Toxic Properties from Groups
The equation derived was
-LN(X) = a + bB + cC + dD + eE = fF
which can also be written as
X = exp(-a).exp(-bB).exp(-cC).
exp(-dD).exp(-eE).exp(-fF)
where X is MCL (mg/L), or tap water (ug/L), or
ambient air (ug/m3), or commercial/industrial soil
(mg/kg), or residential soil (mg/kg).
Graphs for the Risk-Based Concentration for tap
water, air, commercial soil, residential soil, and MCL
for the hazardous compounds from superfund sites
can be found in Computer Generated Physical Prop-
erties (Bumble, S., CRC Press, 1999).
4.6 Rapid Responses
The first serious excursions by the pharmaceutical
industry into designing protease inhibitors as drugs
began over 30 years ago. However, although the
angiotensin converting enzyme (ACE) inhibitors such
as Captopril and Enalapril emerged as blockbuster
drugs, interest waned when the difficulties of de-
signing selective, bioavailable inhibitors became
apparent, and efforts to design bioavailable throm
and renin inhibitors were not so successful.
The resurgence of interest in protease research
has been kindled by the continual discovery of new
mammalian proteases arising from the human ge-
nome project. At present, researchers have charac-
terized only a few hundred mammalian proteases
but extrapolating the current human genome data
suggests that we will eventually identify over 2000.
Recent advances in molecular biology have helped
us to identify and unravel the different physiological
© 2000 by CRC Press LLC
roles of each mammalian protease. In summary, we
can now predict with more confidence what the
consequences of inhibiting a particular protease
might be, and therefore make informed decisions on
whether it will be a valid target for drug intervention.
Further, we know that select protease inhibition can
be the Achilles heel of a vast number of pathogenic
organisms, including viruses such as HIV, bacteria,
and parasites.
Better by Design
Knowledge-based drug design is an approach that
uses an understanding of the target protein, or pro-
tein-ligand interaction, to design enzyme inhibitors,
and agonists or antagonists of receptors. Research-
ers have recently made substantial inroads into this
area, thanks to the developments in X-ray crystal-
lography, NMR, and computer-aided conversion of
gene sequences into protein tertiary structures.
In addition to these physical approaches, Peptide
Therapeutics, Cambridge, Massachusetts developed
a complementary, empirical method, which uses the
power of combinatorial chemistry to generate arrays
of structurally related compounds to probe the cata-
lytic site and examine the molecular recognition
patterns of the binding pockets of enzymes. The
system that was patented can be adapted to gener-
ate structure-activity relationships (SAR) data for
any protein-ligand interaction. In the first instance,
however, it was demonstrated that this strategy us-
ing proteases as the enzyme target and termed this
section of the platform technology RAPID (rational
approach to protease inhibitor design).
The conversion of peptide substrates into potent
non-peptide inhibitors of proteases possessing the
correct pharmokinetic and pharmacodynamic prop-
erties is difficult but has some precedents, for ex-
ample, in designing inhibitors of aspartyl protease
such as HIV protease and the matrix metallopro-
teases. Further, recent work by groups from Merck,
SmithKline Beecham, Zeneca, and Pfizer on the
cysteinyl proteases Ice and cathepsin K, and the
serine proteases elastase and thrombin also opened
up new strategies for designing potent reversible
and bioavailable inhibitors starting from peptide
motifs.
A RaPiD Approach
One of the Peptide Therapeutics’ initial objectives
was to synthesize selective inhibitors of Der pl, the
cysteinyl protease that is considered to be the most
allergenic component secreted by the house dust
mite.
The house dust mite lives in warm moisture-rich
environments such as the soft furnishings of sofas
and beds. To feed itself, the mite secretes small
particles containing a number of proteins, including
Der pl, to degrade the otherwise indigestible pro-
teins that are continuously being shed by its human
hosts. When these proteins have been sufficiently
tenderized by the protease, the mite returns to its
meal. It is a slightly discomforting thought that most
of the ‘house dust’ that can be seen on polished
furniture originates from shed human skin. The
problems arise when humans, especially young chil-
dren with developing immune systems, inhale Der
pl-containing particles into the small airways of the
lung, because the highly active protease can destroy
surface proteins in the lung and cause epithelial cell
shedding. Further, there is evidence to suggest that
the protease also interferes with immune cell func-
tion, which leads directly to a greatly accentuated
allergic response to foreign antigens.
To test the concept that the Der pl inhibitors will
be effective in treating house dust mite related atopic
asthma, first we needed to synthesize a selective and
potent compound that could be used for in vivo
studies and would not inhibit other proteases. We
set as our criteria that an effective, topically active
compound should be 1000 times more selective for
Der pl than for cathepsin B, an important intercel-
lular cysteinyl protease.
To map the protease and so to understand the
molecular recognition requirements, the binding
pockets that surround the catalytic site, we de-
signed and synthesized fluoresence resonanance
energy transfer (Fret) library. Four residues, A, B, C,
and D were connected via amide bonds in a combi-
natorial series of compounds of the type A10-B10-
C8-D8 which represent 6400 compounds. The cen-
tral part of each molecule, A-B-C-D, was flanked by
a fluorescer (aminobenzoic azid) and quench (3-
nitrotyrosine) pair. No fluorescence was detected
while the pair remained within 50A of one another,
but on proteolytic cleavage of the substrate the
quencher was no longer there and fluorescence was
generated in direct proportion to the affinity of the
substrate (1/Km where Km is the Michaelis con-
stant for the protease and its subsequent turnover
(kca ).
The combinatorial mapping approach lends itself
readily to the inclusion of non-peptides and
peptidomimetic compounds, because all that is re-
quired is the cleavage in the substrate of one bond
between the fluorescer-quencher pair. The sissile
bond is usually a peptidic amide bond, but in the
case of weakly active proteases we have successfully
incorporated the more reactive ester bond.
We synthesized and then screened the resulting
library of 6400 compounds against Der pl and cathe-
psin B using an 80-well format, where each well
contains 20 compounds. Each library was built twice,
© 2000 by CRC Press LLC
but the compounds were laid out differently so that
we could easily identify the synergistic relationships
between the four residues A-D, and decipher imme-
diately the structure-activity relationships that
emerged.
At the beginning of our work we could analyze the
amount of SAR data that was produced using pencil
and paper. However, as the Fret libraries approached
100,000 compounds, the amount of data generated
made SAR analysis extremely difficult and time con-
suming. Therefore, we developed a unique software
and automated the SAR analysis, so that the RAPiD
is now a powerful decision making tool for the me-
dicinal chemist, who can who can quickly analyze
the SAR data in fine detail.
Using clear SAR patterns, medicinal chemists can
select a variety of compounds from the Fret library
for resynthesis, and obtain full kinetic data on the
kcat and Km values. We used the SAR data that we
obtained for Der pl and cathe B to convert the most
selactive and active motifs into an extremely potent
and >1 fold selective inhibitor PTL11031, which we
are currenly evaluating in vivo and are currently
adapting it for designing selective protein inhibitors.
It is important to note that the initial output from
this modular approach is genuine SAR patents, which
can be quickly converted into SAR data. More than
a year after we patented the RAPiD concept, Merck
also published a spatially addressable mixture ap-
proach using larger mixtures of compounds. This
described a similar system for discovering a 1-adr-
energic receptor agonists, and independently evalu-
ated the point of this approach for generating quickly
large amounts of SAR data for understanding the
synergies involved in protein-ligand interactions.
We think that the RAPiD system will allow the
medicinal chemist to make knowledge-based drug
design decisions for designing protease inhibitors,
and can easily be extended by changing the assay
readout, to generating useful SAR or other protein-
ligand interactions.
4.7 Aerosols Exposed
Research into the pathways by which aerosols are
deposited on skin or inhaled is shedding light on
how to minimize the risk of exposure, says Miriam
Byrne, a research fellow at the Imperial College
Centre for Environmental Technology in London.
Among the most enduring TV images of 1997 must
be those of hospital waiting rooms in Southeast
Asia, crowded with infants fighting for breath and
wearing disposable respirators. Last autumn, many
countries in the region suffered from unprecedented
air pollution levels in particle (aerosol) form, caused
by forest fires and exacerbated by low rainfall and
unusual wind patterns associated with El Niño. At
the time, the director general of the World Wide
Fund for Nature spoke of a “planetary disaster: the
sky in Southeast Asia has turned yellow and people
are dying.” In Sumatra and Borneo, more than 32,000
people suffered respiratory problems during the
episode, and air pollution was directly linked to
many deaths in Indonesia.
In such dramatic situations, we do not need scien-
tific studies to demonstrate the association between
pollutant aerosol and ill health: the effects are im-
mediately obvious. However, we are developing a
more gradual awareness of the adverse health ef-
fects associated with urban air pollution levels, which
are now commonplace enough to be considered “nor-
mal.” Air pollution studies throughout the world,
most notably the Six Cities study conducted by
researchers at Harvard University, U.S., have dem-
onstrated a strong association between urban aero-
sol concentrations and deaths from respiratory dis-
eases. Although researchers have yet to confirm
exactly how particles affect the lungs, and whether
it is particle chemistry, or simply particle number
that is important, the evidence linking air pollution
to increased death rates is so strong that few scien-
tists doubt the association.
Hospital reports indicate that excess deaths due to
air pollution are most common in the elderly and
infirm section of the population, and the U.K. De-
partment of the Environment (now the DETR) Expert
Panel on Air Quality Standards concluded that par-
ticulate pollution episodes are most likely to exert
their effects on mortality by accelerating death in
people who are already ill (although it is also pos-
sible prolonged exposure to air pollution may con-
tribute to disease development). One might think
that the elderly could be unlikely victims, since they
spend a great deal of their time indoors, where they
should be shielded from outdoor aerosol. Unfortu-
nately, aerosol particles readily penetrate buildings
through doors, windows, and cracks in building
structures, especially in domestic dwellings, which
in the UK are naturally ventilated. Combined with
indoor particle sources, from tobacco smoke and
animal mite excreta, for example, the occupants of
buildings are continuously exposed to a wide range
of pollutants in aerosol form.
Exposure Routes
So if particles are generated in buildings, and infil-
trate from outdoors anyway, is there any point in
advising people to stay indoors, as the Filipino health
department did during last autumn’s forest fires? In
fact, staying indoors during a pollutant episode is
good practice: airborne particles often occur at lower
© 2000 by CRC Press LLC
levels indoors, not because they do not leak in, but
because they deposit on indoor surfaces.
The ability of particles to deposit is one of the key
features that distinguishes this behavior from that
of gases. Although some reactive gases, SO2 for
example, absorbed onto surfaces, the surface gas
interaction is primarily a chemical one in the case of
aerosol particles; their physical characteristics gov-
ern transport adherence to surfaces. Particles greater
than a few um in size are strongly influenced by
gravity and settle readily on horizontal surfaces,
whereas smaller particles have a greater tendency to
move by diffusion. In everyday life, we encounter
particles in a wide range of size distributions.
There is another important factor that distinguishes
pollutant particles from gases. “If you don’t breathe
it in, you don’t have a problem” is a philosophy that
we might be tempted to apply to aerosol pollution.
But this is by no means true in all cases; unlike
gases, aerosol particles may have more than one
route of exposure, and are not only a hazard while
airborne. There are three major routes by which
pollutant particles can interact with the human body:
inhalation, deposition, and ingestion on the skin.
Even the process of inhaling particles is complex,
relative to gases, because particles occur in a wide
range of size distributions and their size determines
their fate in the respiratory system. When entering
the nose, some particles may be too large to pen-
etrate the passages between nasal hairs or negotiate
the bends in the upper respiratory tract, and may
deposit early in their journey, whereas smaller par-
ticles may penetrate deep in the alveolar region of
the lung, and if soluble, may have a toxic effect on
the body.
The second route by which particles intercept the
body is by depositing on the skin, but this tends to
be more serious for specialized occupational work-
ers — notably those involved in glass fiber and
cement manufacture — than for the general public.
In an average adult, the skin covers an area of about
2m2, and while much of this is normally protected
by clothing, there is still considerable potential for
exposure. In the U.K., the Health and Safety Execu-
tive estimates that 4 working days per year are lost
through occupational dermatitis — although not all
of these cases arise from pollutant particle deposi-
tion; liquid splashing and direct skin contact with
contaminated surfaces are also contributors. It is
not only the skin itself that is at risk from particle
deposition. It is now almost 100 years since A.
Schwenkenbacher discovered that skin is selectively
permeable to chemicals; the toxicity of agricultural
pesticides, deposited on the skin as an aerosol or by
direct contact with contaminated surfaces, is an
issue of major current concern.
Particle Deposition
The third human exposure pathway for pollutant
particles is by ingestion. Unwittingly, we all con-
sume particles that have deposited on foodstuffs, as
well as picking up particles on our fingertips through
contact with contaminated indoor surfaces, and later
ingesting them. Toxic house dust is a particular
menace to small children, who play on floors, crawl
on carpets, and regularly put their fingers in their
mouths. Research by the environmental geochemis-
try group at Imperial College, London, has shown
that for small children, hand-to-mouth transfer is
the major mechanism by which children are exposed
to lead and other metals, which arise indoors from
infiltrated vehicle and industrial emissions and also
from painted indoor surfaces.
Of the three exposure routes, particle deposition
dictates which one dominates any given situation:
while particles are airborne, inhalation is possible,
but when they are deposited on building or body
surfaces, skin exposure and ingestion exposures
result. And the route of exposure may make all the
difference: some chemicals may be metabolically
converted into more toxic forms by digestive organs
and are therefore more hazardous by ingestion than
by inhalation or skin penetration. Therefore, to pre-
dict how chemicals in aerosol form influence our
health, we must first understand how we become
exposed. A sensible first step in trying to make
comprehensive exposure assessments, and develop-
ing strategies for reducing exposure, is to under-
stand the factors influencing indoor aerosol deposi-
tion, for a representative range of particle sizes. We
can then apply this knowledge to predicting expo-
sure for chemicals that occur as aerosols in these
various size ranges.
At the Imperial College, together with colleagues
from Riso National Laboratory, Denmark, we have
dedicated more than a decade of research to under-
standing factors that control indoor aerosol deposi-
tion and which, in turn, modify exposure routes.
Motivated by the Chernobyl incident, and in an
effort to discover any possible benefits of staying
indoors during radioactive particulate cloud pas-
sage, we measured, as a starting point, aerosol depo-
sition rates in test chambers and single rooms of
houses for a range of particle sizes and indoor envi-
ronmental conditions. We use these detailed data to
formulate relationships for the aerosol surface in-
teraction, and use computational models to make
predictions for more complex building geometries,
such as a whole house.
Precise Locations
Using the tracer aerosol particles for deposition ex-
periments in UK and Danish houses, we have found
© 2000 by CRC Press LLC
that aerosol deposition on indoor surfaces occurs
most readily for larger particles, and in furnished
and heavily occupied rooms. This probably comes as
no surprise: as mentioned before, gravity encour-
ages deposition of larger particles, and furnishings
provide extra surface area on which particles can
deposit. What may be surprising, though, are our
supplementary measurements, which compare aero-
sol deposition on the walls and floor of a room-sized
aluminum test chamber. We can see, for the small-
est particle size examined (0.7 um), that total wall
deposition becomes comparable to floor deposition.
We found that adding textured materials to the walls
enhances aerosol deposition rate by at least a factor
of 10, even for particles that we might expect to be
large enough to show preferential floor deposition.
What are the implications of these observations?
The predicted steady-state indoor/outdoor aerosol
concentrations, from an outdoor source, generated
using our measured indoor aerosol deposition rates
in a simple compartmental model, indicates that
indoor aerosol deposition is an important factor in
lowering indoor concentrations of aerosols from
outdoor sources, particularly in buildings with low
air exchange rates. However, encouraging particles
to deposit on surfaces is only a short-lived solution
to inhalation exposure control, because the particles
can be readily resuspended by disturbing the sur-
faces on which they have deposited. It is prudent to
clean not only floors regularly but also accessible
walls, and particularly vertical soft furnishings such
as curtains which are likely to attract particles and
are also subject to frequent agitation. The same
cleaning strategies can also be applied to minimizing
house-dust ingestion by small children: in this case,
surface contact is the key factor.
We have seen that carpets and wallpaper can be
readily sampled for tracer particles by NAA; so too
can the surface of the human body. While there are
relatively few skin contaminants in the normal ur-
ban indoor environment, there are many in the
workplace, and data for indoor aerosol deposition
rates on skin are important for occupational risk
assessment. In addition, such data are relevant in
the nuclear accident context: after the Chernobyl
incident, calculations by Arthur Jones at the Na-
tional Radiological Protection Board suggested that
substantial radiation doses could arise from par-
ticles deposited on the skin, and that the particle
deposition rate on skin was a critical factor in deter-
mining the significance of this dose.
Susceptible Skin
In an ongoing study, we are using our tracer par-
ticles to measure aerosol deposition rates on the
skin of several volunteers engaged in various seden-
tary activities in a test room. Following aerosol depo-
sition, we wipe the volunteers’ skin with moistened
cotton swabs according to a well-validated protocol,
and collect hair and clothing samples. We then use
NAA to detect tracer particles deposited on the wipes,
hair and clothing. The most striking finding so far is
that particle deposition rates on skin are more than
an order of magnitude higher than deposition rates
on inert surfaces such as walls. We think that there
are several factors contributing to this result, in-
cluding the fact that humans move, breathe, and
have temperature profiles that lead to complex air
flows around the body.
As well as providing occupational and radiological
risk assessment data, our work on skin deposition
may raise some issues concerning indoor aerosol
inhalation, because it provides information on par-
ticle behavior close to the human body, i.e., where
inhalation occurs. In the urban environment, per-
sonal exposure estimates for particulate pollutants
are often derived from stationary indoor monitoring,
but some researchers, notably those working in the
University of California at Riverside, have noted el-
evated particle levels on personal monitors posi-
tioned around the nose and mouth. These workers
conclude that this is due to the stirring up of “per-
sonal clouds,” i.e., particles generated by shedding
skin and clothing fragments, and by dust resus-
pended by the body as it moves. This may well be the
case, but our tracer particle measurements on sed-
entary volunteers do not show up human-generated
particles; however, they are still sufficiently high to
suggest that particles are actually being drawn into
the region surrounding a person. While questions
remain about how stationary particle monitoring
relates to personal exposure, and until we under-
stand whether it is particle number, mass, pattern
of exposure, or a combination of all of these that
contributes to respiratory ill health, we are left with
a complex and challenging research topic.
4.8 The Optimizer Program
The Quattro Pro Program (version 5.0 or 7.0) con-
tains the optimizer program under the Tools menu.
This has been used to optimize structure in terms of
a plethora of recipes of desired physical and toxico-
logical properties. Such a program can be used for
substitution for original process chemicals that may
be toxic pollutants in the environment and also for
drugs in medicine that need more efficacy and fewer
side effects. These studies can be made while ensur-
ing minimum cost. In order to do this, the computer
is instructed as to what the constraints are (= or >=
or <=) in the equations, what the variables are, what
the constants are, and which variables are con-
© 2000 by CRC Press LLC
strained to be integers. Conditions are also set up to
constrain the number and types of bonds, if desired.
When the Optimizer is called up, a template ap-
pears, in which you are to name the solution cell,
say whether you want a maximum, minimum, or
none (neither), name a Target value, and assign the
Variable Cells in the spreadsheet. Finally, the con-
straints are added. These may look like Q1..Q1 In-
teger, Q2..Q2<=5, etc. You may Add, Change or
Delete (to) any constraint. The difficulty is only in
understanding what terms such as Solution Cell,
Variable Cell, etc., mean. There is also an Options
choice in the Optimizer Box. In it you can fix the
maximum time, maximum iterations, and the preci-
sion and tolerance of the runs. It also allows choices
for estimates: tangent or quadratic, derivatives: for-
ward or central, and search methods: Newton and
conjugate. It allows options for showing iteration
results and assumptions of linear and automatic
scaling. You can save the model, load the model, and
also have a report. The system can use nonlinear as
well as linear models. Before proceeding, it is well to
set up your variable cells, constraint cells and solu-
tion cells on your spreadsheet. This normally uti-
lizes only a small part of your spreadsheet and the
solution will appear within this small part of your
spreadsheet that is set aside.
4.9 Computer Aided Molecular
Design (CAMD): Designing Better
Chemical Products
A new class of molecular design, oriented towards
chemical engineering problems, has developed over
the last several years. This class of CAMD software
focuses on three major design steps:
1. Identifying target physical property constraints.
If the chemical must be a liquid at certain tem-
peratures we can develop constraints on melt-
ing and boiling points. If the chemical must
solvate a particular solute we can develop con-
straints on activity coefficients.
2. Automatically generating molecular structures.
Using structural groups as building blocks,
CAMD software generates all feasible molecular
structures. During this step we can restrict the
types of chemicals designed. We could eliminate
all structural groups which contain chlorine or
we may require that an ether group always be
included.
3. Estimating physical properties. Using structural
groups as our building blocks enables us to use
group contribution estimation techniques to
predict the properties of all generated struc-
tures. Using group contribution estimation tech-
 niques enables CAMD software to evaluate new
compounds.
As an example we design an extraction solvent for
removing phenol from an aqueous stream other than
toluene which is strongly regulated. The extraction
substitute for toluene must satisfy three property
constraints: the selectivity and capacity for the sol-
ute must be high, the density should be significantly
different from the parent liquor to facilitate phase
separation, and the vapor-liquid equilibrium with
the solute should promote easy solvent recovery.
To satisfy these property constraints it is often
easy to simply specify that the substitute should
have the same properties as the original solvent. We
will find a new chemical that has the same selectiv-
ity for extracting phenol from water as does toluene.
To quantify selectivity we can use activity coeffi-
cients, infinite dilution activity coefficients or solu-
bility parameters. We use the latter and our target is
Spd = 16.4, Spp = 8.0 and Sph = 1.6, where they are
the dispersive, polar, and hydrogen-bonding solubil-
ity parameters in units of MPa1/2. We add a small
tolerance to each value.
Next we generate structural groups. Halogenated
groups were not allowed because of environmental
concerns. Acidic groups were not allowed because of
corrosion concerns. Molecules can be represented
as simple connected graphs. Such graphs must sat-
isfy the following constraint:
b/2 = n + r -1
where b is the number of bonds, n is the number of
groups, and r is the number of rings in the resulting
molecule. Our case has b = 6, n = 3, and r = 0. For
this particular example one of the CAMD denerated
solvents, butyl acetate, matched the solvent chosen
as the toluene substitute in the plant.
4.10 Reduce Emissions and
Operating Costs with Appropriate
Glycol Selection
BTEX emissions from glycol dehydration units have
become a major concern and some form of control is
necessary. One method of reducing BTEX emissions
that is often overlooked is in the selection of the
proper dehydrating agent. BTEX compounds are less
soluble in diethylene glycol (DEG) than triethylene
glycol (TEG) and considerably less soluble in ethyl-
ene glycol (EG). If the use of DEG or EG achieves the
required gas dew point in cases where BTEX emis-
sions are a concern, a significant savings in both
operating costs and the cost of treatment of still vent
gases may be achieved. The paper described here
© 2000 by CRC Press LLC
compares plant operations using TEG, DEG, and EG
from the viewpoint of BTEX emissions, circulation
rates, utilities, and dehydration capabilities.
4.11 Texaco Chemical Company
Plans to Reduce HAP Emissions
Through Early Reduction Program
by Vent Recovery System
For the purposes of the Early Reduction Program,
the source identification includes a group of station-
ary air emission locations within the plant’s butadi-
ene purification operations. The process includes
loading and unloading and storing of crude butadi-
ene, transferring the butadiene to unit and initial
pretreatment; solvent extraction; butadiene purifi-
cation; recycle operations; and hydrocarbon recov-
ery from wastewater. The emissions location include:
process vents, point sources, loading operations,
equipment leaks, and volatiles from water sources.
To reduce HAP emissions Texaco Chemical plans to
control point source emissions by recovering pro-
cess vent gases in a vent gas recovery system. The
vent recovery system first involves compression of
vent gases from several process units. The com-
pressed vent gases go through cooling. Next, the
gases go to a knockout drum for butadiene conden-
sate removal. The liquid butadiene is again run
through the process. Some of the overhead vapors
route to a Sponge Oil tower which uses circulating
wash oil to absorb the remaining hydrocarbons. The
remaining overhead vapors burn in the plant boil-
ers.
4.12 Design of Molecules with
Desired Properties by
Combinatorial Analysis
Suppose that a set of groups to be considered and
the intervals of values of the desired properties of
the molecule to be designed are given. Then, the
desired properties constitute constraints on the in-
teger variables assigned to the groups. The feasible
region defined by these constraints is determined by
an algorithm involving a branching strategy. The
algorithm generates those collections of the groups
that can constitute structurally feasible molecules
satisfying the constraints on the given properties.
The molecular structures can be generated for any
collection of the functional groups.
The proposed combinatorial approach considers
only the feasible partial problems and solutions in
the procedure, thereby resulting in a substantial
reduction in search space. Available methods exist
in two classes. One composes structures exhaus-
tively, randomly, or heuristically, by resorting to
expert systems, from a given set of groups; the
resultant molecule is examined to determine if it is
endowed with the specified properties. This “gener-
ate-and-test” strategy is usually capable of taking
into account only a small subset of feasible molecu-
lar structures of the compound of interest. It yields
promising results in some applications, but the
chance of reaching the target structure by this strat-
egy can be small for any complex problem, e.g., that
involving a large number of groups. In the second
class, a mathematical programming method is ap-
plied to a problem in which the objective function
expresses the “distance” to the target. The results of
this assessment may be precarious since the method
for estimating the properties of the structure gener-
ated, e.g., group contributions, is not sufficiently
precise. The work here is a combinatorial approach
for generating all feasible molecular structures, de-
termined by group contributions, in the given inter-
vals. The final selection of the best structure or
structures are to be performed by further analysis of
these candidate structures with available techniques.
4.13 Mathematical Background I
Given:
a. Set G of n groups of which a molecular struc-
ture can be composed,
b. The lower bounds, pj’s and the upper bounds,
Pj’s of the properties to be satisfied, where j=1,
2, ..., m;
c. Upper limit Li (i=1, 2, ...,n) for the number of
appearances of group i in a molecular structure
to be determined; and
d. Function fk (k=1, 2, ..., m) representing the value
of property k which is estimated by the group
contribution method as
fk(x1,x2,...,xn).
In the above expression, x1, x2, ..., xn are, respec-
tively, the number of groups #1, #2, ..., and #n
contained in the molecular structure or compound.
The problem can now be formulated as follows:
Suppose that fk (k = 1, 2, ...mi) is an invertible
function on the linear combinations of coefficients
aki (i = 1, 2, ..., n), on S akixi. Furthermore, assume
that function fk (k = mi + 1, mi + 2, ..., m2) has a sharp
linear outer approximation, i.e., there are coeffi-
cients aki and a’ki such that
∑akixi ≤ fk(x1,x2,...,xn) ≤ ∑ a’kixi
(k = mi + 1, mi + 2,..., m2) (1)
We are to search for all the molecular structures
formed from given groups, #1, #2,... and #n, whose
© 2000 by CRC Press LLC
numbers are x1, x2, ... xn, respectively, under the
condition that the so-called property constraints given
below are satisfied.
pj ≤ fj(x1,x2,...,xn) ≤ PjVVVV(j = 1,2...,m).
Throughout this paper, the constraints imposed
by the molecular structure on feasible spatial con-
figurations are relaxed, and the molecular struc-
tures are expressed by simple connected graphs
whose vertices and edges represent, respectively,
the functional groups from the G set and the asso-
ciated bonds. Thus, the set of such connected graphs
need be generated from the set of functional groups
G that satisfies the property constraints admitting
multiple appearances of the functional groups.
In the conventional generate-and-test approach,
all or some of the connected graphs, i.e., structur-
ally feasible graphs, are generated from the available
functional groups and are tested against the prop-
erty constraints. This usually yields an unnecessar-
ily large number of graphs. To illustrate the ineffi-
ciency of this approach, let the structurally feasible
graphs be partitioned according to the set of func-
tional groups of which they are composed; in other
words, two graphs are in the same partition if they
contain the same groups with identical multiplici-
ties. Naturally, all the elements in one partition are
either feasible or infeasible under the property con-
straints. Moreover, the graph generation algorithm
of this approach may produce all elements of the
partition, even if an element of this partition has
been found to be infeasible earlier under the prop-
erty constraints: obviously this is highly inefficient.
4.14 Automatic Molecular Design
Using Evolutionary Techniques
Molecular nanotechnology is the precise three-di-
mensional control of materials and devices at the
atomic scale. An important part of the nanotechnology
is the design of molecules for specific purposes. This
draft paper describes early results using genetic
software techniques to automatically design mol-
ecules under the control of a fitness function. The
software begins by generating a population of ran-
dom molecules. The population is then evolved to-
wards greater fitness by randomly combining parts
of the better individuals to create new molecules.
These new molecules then replace some of the worst
molecules in the population. The approach here is
genetic crossover to molecules represented by graphs.
Evidence is presented that suggests that crossover
alone, operating on graphs, can evolve any possible
molecule given an appropriate fitness function and
a population containing both rings and chains. Prior
work evolved strings or trees that were subsequently
processed to generate molecular graphs. In prin-
ciple, genetic graph software should be able to evolve
other graph representable systems such as circuits,
transportation networks, metabolic pathways, com-
puter networks, etc.
4.15 Algorithmic Generation of
Feasible Partitions
The feasible partitions can easily be generated for
the problem defined in the preceding section by a
tree search algorithm similar to the branch-and-
bound framework.
A novel approach is proposed in the present work
which is substantially different from the generate-
and-test approach. It first identifies the feasible
partitions satisfying the property constraints as well
as the structural constraints; this is followed by the
generation of the different molecular structures for
each of the resultant partitions. The proposed ap-
proach is more effective than the generate-and-test
approach because each partition need be considered
only once, and the algorithm for generating molecu-
lar structures is performed only for a feasible parti-
tion. In addition, the approach can be conveniently
implemented by means of a tree search.
Suppose that the values of variables x1,x2, ..., xk (k
n-1) are fixed a priori as l1, l2, ..., lk at an interme-
diate phase of the procedure; then, the problem is
branched to Lk+1 partial problems for lk+1 = 0, 1, 2, ...,
Lk+1 according to the following two cases.
Case 1. k ≤ n-2:
p’j ≤ ∑ ajili + ∑ ajixi ≤ P’j (j = 1, 2, ..., mi)
pj ≤ ∑ a’jili + ∑ a’jixi (j = mi+1, mi + 2,..., m2)
∑ ajili + ∑ ajixi ≤ Pj (j = mi + 1, mi + 2, ..., m2)
0 ≤ xi ≤ M i (i = k + 2, k + 3. ..., n)
∑xi - ∑ xi ≥ -2
where the values of variable x’s are extended from
integers to real values; p’j and P’j denote f -1(p’j) and
f -1(P’j) (j = 1, 2, ..., m1), respectively; constraint ( )
expresses a necessary condition to have a connected
graph in a partition; and i1 indicates the indices of
branching functional groups while i2 indicates the
indices of terminator groups.
The feasibilities of partial problems generated above
must be tested; for example, this can be done by the
first phase of the simplex algorithm. If any of the
problems pass the test, it needs to be branched
further.
© 2000 by CRC Press LLC
Case 2. k = n-1:
A test must be performed by simple substitution
to determine if the constraints and condition below
are satisfied for l1, l2, ..., ln.
pj ≤ fj (l1,l2, ...,ln) ≤ Pj (j = 1,2, ..., m)
∑li - ∑li is an even number not less than -2
Condition 1. If the partition given by l1, l2, ..., ln
includes functional groups with different types of
bonds (e.g., single and double bonds), then there
must be a group included in the partition, which has
at least two different types of bonds, with each type
belonging to at least one group of the partition con-
taining other types of bonds.
After the feasible partitions are generated, the
feasible molecular structures can be generated by
an available computer program or a combinatorial
algorithm. The present procedure is most advanta-
geous when applied to problems involving large
numbers of constraints on the predicted properties,
especially if most of them are linear or can be sharply
bounded by linear functions.
4.16 Testsmart Project to Promote
Faster, Cheaper, More Humane Lab
Tests
The Environmental Defense Fund (EDF), John
Hopkins University, the University of Pittsburgh,
and Carnegie-Mellon University announced the
launch of TestSmart, a project to find more efficient
and humane methods of conducting a preliminary
toxicity screening test on chemicals. The four insti-
tutions will explore new testing methods that mini-
mize the use of laboratory animals and produce
reliable results faster and for less money than in the
past. The search to gather basic information on the
health and environmental effects of nearly 3000
high-production volume industrial chemicals is un-
der way.
In October 1998, Al Gore announced a cooperative
agreement among EDF, the U.S. EPA and the Chemi-
cal Manufacturers Association (CMA) to test thou-
sands of industrial chemicals that are used in the
U.S. in volumes of more than one million pounds
each year. The agreement to test came after separate
studies by EDF, EPA, and CMA all concluded that
basic health effects information is not publicly avail-
able for most major industrial chemicals.
The high-production volume chemicals will be
tested over the next five years using screening meth-
ods as defined through the Organization for Eco-
nomic Cooperation and Development’s international
consensus process. Some of the test procedures now
call for testing on laboratory rodents, fish, and in-
sects. The TestSmart project will explore alternative
testing and evaluation techniques.
We need assurance that chemicals in our economy
are not causing unknown harm to our health and
environment. Animal-based studies are used by vir-
tually every regulatory agency and we must evaluate
emerging techniques and identify areas where fur-
ther targeted research is needed to develop new
approaches.
A key component of the initiative will involve the
use of Structure-Activity Relationship (SAR) analy-
sis. Using SAR, it is possible in appropriate circum-
stances to extrapolate on the health and environ-
mental effects of classes of chemicals to structurally
related agents that have not yet been tested. SAR is
well established for certain endpoints and we will be
evaluating its application in a wider variety of con-
texts.
The project team will help review proposals under
the voluntary testing initiative to group similar chemi-
cals into categories. Selected members of the catego-
ries would be tested and results interpolated to
other members. While an important mechanism for
enhancing the efficiency of testing and minimizing
use of test animals, proper definition of scientifically
robust categories is essential to the success of this
approach.
4.17 European Cleaner Technology
Research
Cleaner manufacturing is an increasingly important
goal for industry in Europe for both existing and new
facilities. For such work, significant research fund-
ing is made available by governments and industry
in Europe to achieve cleaner process and product
technologies. European funding goals are to improve
industrial competitiveness and technology transfer
to industry. Topics include plastic and polymer re-
cycling, expansion of products with renewable ma-
terials, recycle of an increasing number of chemi-
cals, diverse CFC replacement, carbon dioxide
utilization, heavy metal minimization, and reduced
chemical use.
European Community
Program on Industrial and Materials
Technologies (BRITE-EURAM II)
The EC has 15 research and technology develop-
ment (RTD) areas. The following descriptions high-
light the clean technology topics covered under
BRITE/EURAM
Friendly Polymers
Biodegradability
polyamide polymers
© 2000 by CRC Press LLC
bacterial polyesters
blends of thermoplastic resins
Polymer Coatings Research Efforts
high-solids, isocyanate-free paint
a water-based improvement
Ultimate Recyclability of Heterogeneous Materials
composite materials
Substitutes for PVC in various applications
Use of Wastes in Paving Materials
Use of Gypsum in the Building Industry
Clean Technology in the Leather Industry
nonchrome alternatives
Acid Recovery
Catalyst Recycle and Recovery
Germany
Low Emission Processes in Industry
The projects in this category focus on process devel-
opment utilizing chemical routes or achievement of
greater efficiency through process understanding.
Though the projects focus on specific processes or
plants, there are significant advances in the knowl-
edge underlying each process involved. This is a
transferrable element that benefits the overall issue
of cleaner manufacturing.
Low Emission Products
Halogen-free fire retardants for plastics in
electronic equipment
recyclable lawn mowers
television parts and assemblies for ultimate
reuse
biologically degradable lubricants
CFC Replacement
Chlorinated Hydrocarbon Replacement
Reduction of Volatile Emissions
reduction of non chlorinated hydrocarbons
volatile emissions from two-layer enamels
for industrial coatings
development of powder coating alternatives
in automobiles
Plastics Recycling
expand the type of plastic products that can
be recycled
recycling process, for pure or impure or mixed
plastics.
Pyrolysis and hydrogenation techniques.
DECHEMA
Research Focus Areas
new materials
principles of catalysis
basics of recycling, and
Renewable resources
Recycling of Plastics and Metals/Inorganics
plastics recycling by thermal methods
 degradation of polymers to monomers and
oligomers
Renewable Resources
use of olochemical surfactants on a broader
basis
renewable resources for biologically degrad-
able lubricants and hydraulic oils
derivatives from natural products such as
starch, glucose, protein, celluose, lignin and
fat combined to give new possible applica-
tions
use of natural polymers and derivatives
new materials using renewable resources
intermediates, special, and fine chemicals
biotechnology for use of renewable resources
Plant Protection and Resistance
Carbon Dioxide Utilization
Fraunhofer Institute for Food Technology and Pack-
aging
quality assurance in Food and Packaging
technical microbiology
process engineering and biotechnology
packaging technology
Reduction of Chemicals in Paper Products
Biopreservation of Food
Solvent-Free Extraction
Packaging Materials from Renewable Resources
CFC Elimination
Biopreservation of Food
Solvent-Free Extraction
Packaging Materials from Renewable Resources
CFC Elimination
Energy Efficient Organic Vapor Removal from Air
Streams
Metal and Acid Recovery in the Copper Plating In-
dustry
Improvement of Membrane Properties
Italy
Membrane Systems
emphasis on membrane material character-
ization and process modeling
ceramic membrane and nanofiltration
projects included
Photocatalysis
Photocatalytic treatment of aqueous materials
Recycling of Membranes and Catalysts
Switzerland
Reaction Engineering:Effects of Mass Transfer on
Secondary Product Formation (ETH).
Chemical Substitution in the Textile Industry
Solar Energy
Recycling of Building and Pavement Materials (ETH).
Catalysts for Carbon Dioxide Coversion (ETH)
© 2000 by CRC Press LLC
United Kingdom
Clean Synthesis of Effect Chemicals
Light Harvesting
Farming as an Engineering Process
Cities and Sustainability
Fuel Cells
Clean Combustion
Analysis and Measurment
Life Cycle Analysis (LCA)
Hub technologies include the most significant envi-
ronmental problems, work currently undertaken by
industry and universities and areas of cleaner tech-
nologies
process flow sheeting
process control software
reactor engineering
membrane processing
super- and sub-critical fluids
photo(electro)chemistry
ultrasonics and sonoelectrochemistry
ohmic processes
induction heating
4.18 Cleaner Synthesis
Chemical companies are coming under increasing
pressure to clean up their activities by finding alter-
native cleaner syntheses rather than by dealing with
the after-effects, says Tim Lester. When the techni-
cal adviser for cleaner synthesis on the Science and
Engineering Council’s (now EPSRC’s) Clean Tech-
nology Programme was appointed four years ago,
one of the first things he did was to carry out some
literature searches. Using the keyword ‘clean’ yielded
almost nothing, but I suspect that the position would
be very different today. The terms clean technology
and clean (or cleaner) synthesis are heard much
more frequently nowadays at gatherings of indus-
trial chemists. Journal publishers have also seized
on the opportunity — the Journal of Chemical Tech-
nology and Biotechnology now boldly states on its
front cover that its coverage encompasses clean tech-
nology, while the Journal of Cleaner Production was
launched in 1993. Clean technology forestalls pollu-
tion by circumventing waste production and mini-
mizing the use of energy — avoiding the problem in
the first place rather than treating the effluents. So
where does cleaner synthesis fit in?
Cleaner synthesis involves making changes to the
chemistry, biology, or engineering of the original
process. It is just one of several waste minimization
options and may not always be the most appropri-
ate; another strategy might be to change the product
to one that serves the same purpose, but is cleaner
to manufacture. Alternatively, carefully implement-
ing “good practice” can lead to substantial reduc-
tions in discharges to water and land, as demon-
strated by a recent project to clean up the rivers Aire
and Calder.
For those involved in manufacturing chemicals,
cleaner synthesis is particularly satisfying — mak-
ing a product by a novel route that is both commer-
cially advantageous and less of a burden on the
environment. Many sub-disciplines of chemistry and
process engineering can contribute to the technol-
ogy at various levels of sophistication — from lead-
ing edge science to the innovative application of
existing knowledge.
Chemical manufacturing processes vary enor-
mously in their waste production characteristics.
Commodity chemicals made from petroleum feed-
stocks are often produced by using catalytic pro-
cesses with very high yields and selectivities.
Byproducts can frequently be used in other pro-
cesses or, as a last resort, as fuels to help run large
integrated petrochemical plants. Nevertheless, even
the petrochemical and refining industries acknowl-
edge certain challenges, notably finding a selective
route to ethene synthesis; currently only ca 30% of
the naphtha cracked product is ethene. It would
also be useful to identify an alternative acid catalyst
to replace HF or H2SO4 used for alkylating various
gasoline components.
At the other end of the scale lies the synthesis of
complicated biologically active molecules in the phar-
maceutical and agrochemical industries, often re-
quiring multistep procedures giving overall yields as
low as 10%.
Roger Sheldon has categorized sectors of the chemi-
cal industry by their quantity of byproduct per kilo-
gram of product (Table 1). Many of the byproducts
that arise in these various industry sectors do so by
stoichiometric reactions, side reactions, or further
reactions.
Stoichiometric Reactions
A + B → C + D
Unless by some fortunate chance both C and D are
useful products, stoichiometric reactions of this type
produce a molecule of a waste for each molecule of
product. Acids and alkalis are often reagents, with
salts as the unwanted byproducts.
Other reactions that fit this type of scheme are
AlCl 3-catalyzed Friedel-Crafts alkylations and
acylations, which generate large quantities of alumi-
num wastes. Despite considerable advances towards
replacing AlCl3 with other catalysts, such as zeolites
and Envirocats, worldwide demand for AlCl3 is ca.
75 000 t pa — much of it used to catalyze Friedel-
Crafts reactions.
© 2000 by CRC Press LLC
Researchers are also developing cleaner alterna-
tives to oxidizing agents based on chromium and
manganese, which can give toxic metal byproducts
that are subject to regulatory pressures.
We can take a quantitative look at the waste pro-
duced by different reactions using the concept of
atom utilization, calculated by dividing the molecu-
lar weight of the desired product by the sum of the
molecular weights of all “products”.
The manufacture of t-butylamine illustrates the
concept. The conventional route is via the Ritter
reaction:
HCN + H3O H3O
(CH3)2C=CH2 → (CH3)3CNHCHO →
(CH3)3CNH2 + HCOOH
Based on these reactions the atom utilization is
61%, but the reaction suffers from salt formation
during work up. However, BASF has developed a
cleaner synthesis using zeolite catalysis, which dem-
onstrates 100% atom utilization:
(CH3)2C = CH2 + NH3 → (CH3)3CNH2
Stoichiometric reactions are common in work-up
procedures to neutralize an acidic or basic medium
that was used in a previous reaction step. Product
work up and isolation can pose as great a constraint
on clean synthesis as the synthetic reaction itself
and careful reappraisal of a longstanding work up
procedure can sometimes realize significant improve-
ments.
Side Reactions
A + B → C (desired reaction)
A + B → D (side reaction)
Aromatic substitutions are a well-known example
of this type of reaction, with their competition be-
tween ortho, meta, and para sites. Nitrating systems
that maximize the production of para-nitrotoluene
are commercially attractive because the para-isomer
costs about twice as much as ortho-nitrotoluene.
Keith Smith at the University of Swansea recently
reported producing ca. 80% of para-nitrotoluene
using nitric acid and acetic anhydride to generate
acetyl nitrate in the presence of zeolite beta.
Attempts to make particular enantiomers are also
subject to side reactions as a consequence of imper-
fect stereoselectivity.
Further Reactions
A + B → C → D
In these reactions C is the desired product, but the
reaction is difficult to stop cleanly at this stage.
During the manufacture of ethene oxide by oxidizing
ethene, ca 20% of the starting material undergoes
further oxidation to carbon dioxide and water. An-
other example is the production of methylene chlo-
ride by chlorinating methyl chloride, which also re-
sults in the over-chlorinated byproducts chloroform
and carbon tetrachloride.
Fate of Solvents
Besides avoiding the above three reaction types
wherever possible, cleaner synthesis also involves
finding the most appropriate solvents. Water is fre-
quently thought of as the only solvent that can be
readily discharged, but finding chemistry that works
in water is not helpful unless the reactants and/ or
products (plus by-products) are harmless or can be
thoroughly removed. Supercritical carbon dioxide is
one of very few other environmentally friendly sol-
vents, but as yet its use is limited to a few specialist
applications — extracting flavors, or caffeine from
coffee beans, for example.
We can sometimes avoid conventional solvents by
using an excess of one of the reagents, which cir-
cumvents the need to separate and contain another
component. For example, polypropene is now pre-
pared in propene, replacing solvents such as kero-
sene. In many cases, however, effective containment
and recycling of solvents may be the best option.
The manufacture of lactic acid illustrates several
different aspects of waste production. Two routes —
chemical synthesis and fermentation — satisfy most
of the worldwide demand for the acid, ca 40 000 tpa.
In the chemical synthesis route, the first step in-
volves reacting ethanal with HCN under base-cata-
lyzed conditions at atmospheric pressure to give
lactonitrile:
CH3CHO + HCN → CH3CHOHCN (1)
After purifying the product by distillation, the next
step is to hydrolyse the lactonitrile using concen-
trated sulphuric (or hydrochloric) acid — a typical
stoichiometric reaction resulting in the low value
byproduct ammonium sulphate (or chloride):
CH3HCOHCN + 2H2O + HH2SO4 →
CH3CHOHCOOH + H(NH4)2SO4 (2)
The crude lactic acid is then esterified to give
methyl lactate:
© 2000 by CRC Press LLC
CH3CHOHCOOH + CH3OH →
CH3CHOHCOOCH3 + H2O
which is purified and hydrolyzed under acid condi-
tions to give lactic acid and methanol, for recycling
back into the system.
The lactic acid molecule is ‘built’ in steps (1) and
(2), with atom utilization efficiencies of 100% and ca.
60%, respectively, but producing a product of a
suitably high quality also involves two distillations
besides the esterification/hydrolysis steps and their
associated energy requirements and wastes.
The second route to lactic acid manufacture relies
on fermenting carbohydrates, such as molasses or
corn syrup. The resulting acid is neutralized by
adding calcium carbonate to yield calcium lactate.
Fermentation takes four to six days and, to keep the
calcium lactate in solution so that it can be sepa-
rated by filtration, its concentration must be below
ca. 10%, with inevitable consequences for plant cost
and capacity. Work up proceeds by carbon treat-
ment, evaporation, and acidification with sulphuric
acid, to produce lactic acid plus stoichiometric quan-
tities of calcium sulphate. The resulting lactic acid is
only technical grade. If higher quality product is
needed, we need to include esterification, distilla-
tion, and hydrolysis steps as for the previous route.
Both processes therefore fall well short of the ideals
of clean synthesis for a number of reasons.
Is It Cleaner?
Choosing the cleanest process from various different
routes to make the same product is not always
straightforward. One measure that we can look at is
the E factor — the amount of waste produced for a
given amount of product, taking into account yields
and solvent losses as well as atom utilization. How-
ever, wastes vary in composition as well as quantity,
and consequently may need to be discharged to
different media — for example to landfill rather than
to water. Finding ways to quantify the environmen-
tal damage done by different wastes is not always
straightforward.
It is also important, when evaluating the options
for cleaner synthesis, to include all the relevant
factors, such as the implications of making the nec-
essary reagents or the energy consumed during prod-
uct separation. For example, ozone looks like an
attractive oxidizing agent because it does not leave
any toxic residues behind, unlike metal-based re-
agents, but we need to weigh this against the fact
that 90% of the electrical energy used in the electric
discharge ozone generator results in heat rather
than ozone.
What started out as a simple matter of judging the
cleanest process may begin to look like a life cycle
analysis. At least one pharmaceutical company has
found that an innovative piece of chemistry required
so much extra solvent compared to the existing
reaction path that the perceived improvements turned
out to be a mirage.
Moreover, while clean synthesis addresses envi-
ronmental concerns, we must not overlook the im-
plications of such changes for health and safety. In
a recent review of inherently safer chemistry, Abe
Mittelman and Daniel Lin point out that substituting
HF for aluminum trichloride in Friedel-Crafts reac-
tions may not be as good for employees as it is for
the environment. Companies need to assess the
consequences of any changes to processes fully be-
fore implementing them.
Industry Response
Manufacturers have been changing and refining their
processes in ways that produce less waste since the
early days of the chemical industry. Many changes
have been driven by economics — by reduced costs
for raw materials and energy, or improvements to
produce purer products that command higher prices.
Tighter regulations for waste disposal, leading to
increased treatment or off-site disposal costs, have
added to economic pressures — sometimes tipping
the balance in favor of less polluting processes. For
example, in the chlor-alkali industry, membrane
cells, which avoid the use of mercury, are now pre-
ferred to the traditional mercury cathode cells.
Today, the literature contains many examples of
industrially applied cleaner syntheses. A good ex-
ample is the Hoechst-Celanese route to ibuprofen
from isobutylbenzene, which involves three steps —
two of them catalytic — and has an atom utilization
of 100%, a marked improvement on the previous
six-step synthesis.
Companies are continuing to conduct in-house
studies on ways to improve their manufacturing
processes, but they are also collaborating with each
other, for example, through the Cefic (European
Chemical Industry Council) Sustech R&D program,
which is subdivided into: bio-Sustech; catalyst de-
sign and application; process intensification; safety
and environmental management; process modeling,
simulation, and control; contaminated land issues;
separation technologies; particulate solids process-
ing; and recovery, recycling, and reuse.
Government Activity
At the supra-national level the UN, through its en-
vironmental program UNEP, has identified a num-
ber of cleaner production industry sector groups,
among them several sectors using chemical pro-
cesses — the textile and pulp and paper industries
for example. By organizing conferences, newsletters,
and other forms of networking, UNEP aims to en-
© 2000 by CRC Press LLC
courage better exchange of information between dif-
ferent sectors. A recent example concerns the trans-
fer of “know-how” about clean production in the
metal finishing industry between Australia and Hong
Kong. When implemented, the resulting recommen-
dations — based on good housekeeping, minimizing
water use, and the recovery of excess metals —
should reduce discharges to Hong Kong Harbor.
Industrial development work on clean processes is
underpinned by government funded research pro-
grams in the U.K., U.S., and other countries. In the
U.K., the Cleaner Synthesis program was launched
in 1992, and in the U.S. the National Science Foun-
dation is running a Benign Chemical Synthesis and
Processing program with similar aims.15 A Gordon
research conference on Environmentally benign or-
ganic synthesis was held in July 1996, while in Italy
a number of universities have established an Inter-
university Consortium on Chemistry for the Envi-
ronment. The EPSRC’s financial commitment to
cleaner synthesis through its funding of research in
universities reached £15m, with the award of a fur-
ther £1.5m for nine projects in June 1996. Topics
that are attracting most support include various
aspects of catalysis, supercritical fluids, chemistry
in water, radical reactions that circumvent undesir-
able initiators, such as tin hydrides, electrochemical
synthesis, and some novel reactor concepts.
The EPSRC’s Clean Technology Program also has
a related research target on Waste minimization
through recycling, re-use, and recovery in industry,
and there is a parallel Link program on this subject.
The past few years have seen much more attention
being given to cleaner ways of making chemicals and
there is a substantial commitment to research in
both industry and universities. Industry is introduc-
ing cleaner processes, though confidentiality issues
can delay their disclosure. However, to quote a
speaker at a recent Royal Society meeting: “clean
technology has to be cost effective, unlike some
environmental projects”. Clean synthesis is about a
“win–win” approach — a “win” for the environment
and a “win” for the manufacturer.
Dr. Tim Lester is EPSRC technical adviser for
cleaner synthesis and may be contacted at Deft
Technology and Design, 11 Nightingale Road, Hamp-
ton, Middlesex TW12 3HU. He would be pleased to
hear from any readers wanting to discuss industry’s
needs or ideas for research projects to explore cleaner
synthesis.
1 Better by Design
In October 1995, the antibiotic project team at Glaxo
Wellcome’s R&D division in Stevenage was engaged
in trying to improve an existing route for preparing
a promising antibiotic that is currently in clinical
trials. One step of the synthesis that posed a par-
ticular challenge was the desilylation of the trinem
to give the corresponding hydroxyester.
The original route involved deprotecting the trinem
using excess tetrabutylammonium bromide, potas-
sium fluoride, and acetic acid. In the laboratory
these conditions gave us a yield of 75% of the
hydroxyester after product isolation. On scaling up
the reaction in a pilot plant to produce about 250 kg
of hydroxyester, the yield fell to ca 68%. This was
because of the instability of the product during the
protracted work up, which involved numerous ex-
tractions to remove the acetic acid. Of greater con-
cern, however, was the considerable amount of waste
generated at this scale (ca 150 kg of waste per kg of
product). The waste included 5 kg of quaternary
amine byproducts per kg of product, which give off
considerable amounts of nitrogen oxide gases dur-
ing disposal by combustion.
Initially, our literature search for alternative
desilylation procedures looked very promising. How-
ever, although many methods are available, condi-
tions for deprotecting silylesters are often very harsh
and completely degraded our starting compound
and/or the required product. Eventually, however,
we tried out a milder method described by Seigfried
Hünig and coworkers at Würzburg University, using
triethylamine trihydrogen fluoride in tetrahydrofu-
ran. Switching to this method gave us just 50% of
the unisolated product (still in solution), but we
later increased solution yields to over 90% simply by
changing the solvent to dimethylformamide or N-
methylpyrrolidone. Because the new method no
longer uses acetic acid, we did not have to carry out
extensive extractions and we were able to isolate the
product in 80% yield, irrespective of the scale. This
reduced the amount of waste to 60 kg per kg of
product, including just 0.8 kg per kg of amine
byproducts.
It was an impressive result, but as usual there was
a catch. Under the new reaction conditions the lac-
tone impurity gradually forms, and is difficult to
remove using the simpler isolation conditions. The
amount of impurity that forms is critically depen-
dent on when we stop the reaction — too early and
conversion is incomplete, or too late and the level of
impurity becomes unacceptable. Traditionally, chem-
ists have used a “one factor at a time” approach to
optimization — in other words assessing the effect of
a particular factor by keeping all other conditions
constant. But while this can be a quick method of
improving a single response such as yield, it does
not give us an overall picture of what is going on. If
there are many conflicting goals, such as simulta-
neously maximizing yield and purity while minimiz-
ing material and waste, then it becomes very diffi-
cult to apply this approach efficiently.
© 2000 by CRC Press LLC
Instead, we chose to use an experimental design
software package called DesignExpert to generate a
model of the reaction based on the statistical analy-
sis of a series of 20 experiments in which we altered
all of the factors simultaneously. From this we de-
termined the optimum reaction conditions for vari-
ous desired outcomes — maintaining high product
yields, controlling quality, maximizing throughput,
and minimizing wastes. After applying these condi-
tions experimentally, we were reassured to find that
the actual responses closely matched the expected
outcomes predicted by the computer.
One drawback of this approach may be having to
carry out 20 experiments; fortunately automation
can help to remove the drudgery ... but that’s an-
other story.
Martin Owen is automation project leader in the
process research and development division of Glaxo
Wellcome at Gunnels Wood Road, Stevenage,
Hertfordshire SG1 2NY.
TABLE 1 Sectors of the Chemical Industry by Quantity of
By-Product/kg Product
Product kg by-product/
Industry sector tonnage kg product
Oil refining 106 – 108 c 0.1
Bulk chemicals 104 – 106 <1–5
Fine chemicals 102 – 104 5–50
Pharmaceuticals 101 – 103 25–100+
2 Catalysts for Change
In September 1995, Contract Chemical’s Knowsley
site became one of the first fine chemical companies
in the UK to be accredited to the new standard for
environmental management systems, BS7750. This
recognizes the company’s commitment to uphold
the principles of responsible care, which aim to
improve environmental performance. As part of the
company’s continuous improvement program, Con-
tract Chemicals is developing environmentally be-
nign chemistry for synthesizing a range of organic
intermediates for the pharmaceutical, agrochemi-
cal, and related industries.
One area that has been investigated recently, in
conjunction with researchers at the University of
York, is the development of a range of supported-
reagent catalysts called Envirocats, which demon-
strate significant advantages over traditional cata-
lysts in terms of processing efficiency, health, safety,
and the environment. Important applications for
Envirocats include replacing conventional catalysts
such as para-toluenesulphonic acid and methane
sulphonic acid in a number of high temperature
esterifications. Using the solid Envirocat alternative
— a strong Brönsted acid — avoids the problem of
colored final products and reduces processing times
without necessitating any plant modifications.
Envirocats also have the advantage of producing
better quality esters for certain applications, using
fewer aqueous washes, and do not require solvent or
carbon treatment to purify the products.
We have also applied another Envirocat to synthe-
size the phar maceutical inter mediate para-
chlorobenzophenone (see Scheme), which conven-
tionally involves Friedel-Crafts acylation using
stoichiometric quantities of the toxic and potentially
hazardous catalyst AlCl3. Unlike AlCl3, the Envirocat
doesn’t complex with the final products, eliminating
the need for an aqueous quench and the problem of
acidic effluent. Besides reducing HCl emissions by
as much as 75%, using the alternative non-toxic
Envirocat reduces the weight of catalyst by 10-fold
while yielding 70% of the desired para-isomer, with
only minimal amounts of the ortho-isomer byproduct.
Keith Martin is a technical service specialist at
Contract Chemicals, Penrhyn Road, Knowsley In-
dustrial Park South, Prescot, Merseyside L34 9HY.
4.19 THERM
A set of subprograms collectively called THERM,
written by Ritter and Bozelli, has proven very useful
in the two programs whose descriptions follow
(NASA’s LSENS and DOE’s Chemkin). THERM sup-
plies the thermochemical data needed by these two
programs based on the data files in Benson’s book
“Thermochemical Kinetics.” This data in THERM is
given for 330 groups. They are divided into three
types of groups, BD-bond dissociation groups, CDOT-
radical groups, and Regular groups — all other groups
with no unbonded electrons. The last groups consist
of HC-hydrocarbon groups, CYCH-ring corrections
for hydrocarbon, oxygen, and nitrogen containing
ring systems, INT-interaction groups/substituent
effects, CLC-chlorine and halogen containing groups,
HCO-oxygen containing groups, and HCN-nitrogen
containing groups. Recipes guide the user into the
various subprograms. ENTER/ESTMATE SPECIES
asks for specie ID, # of groups in the species, # of
different groups to be entered, elemental formula,
groups contained in the species, and the species
symmetry number. (The code for the groups in the
species takes a while to get used to). The result when
stored in Therm.lst is in the form heat of formation,
entropy, and heat capacity at 300, 400, 500, 800,
1000, and 1500 degrees Kelvin. The whole Therm.lst
file for many species can be converted to the
Therm.dat file, which is exactly what is needed in
the NASA format for LSENS and Chemkin. This is
done with amazing speed by the subprogram
Thermfit. Incidentally, literature values for H, S, and
Cp can be converted to the NASA format with Thermfit
as well. The Therm.dat file is also needed in Thermrxn
© 2000 by CRC Press LLC
which is a sub-program where a chemist writes a
reaction which is immediately converted to a table of
enthalpies entropies free energies, equilibrium con-
stants, ratio of Arrhenius factors at a series of tem-
peratures and in units of one’s option. All of the
information found by THERM can be sorted and
stored in specific files easily recalled.
4.20 Design Trade-Offs for
Pollution Prevention
Design for the environment poses special problems
just as design for manufacturability does. There are
no analytical tools to integrate these issues into the
conventional engineering design analysis. Unavoid-
able tradeoffs must often be made between cost,
performance, manufacturability, and customer sat-
isfaction. Decisions must be made under a great
deal of uncertainty and with input from multiple
sources.
The current trend in environmental protection leg-
islation shifts the financial responsibility for envi-
ronmental mitigation of industrial impact to the
industry carrying out the activity. Traditional
manufacturing cost analyses do not reflect this total
long-term cost. This project integrated design evalu-
ation and optimization and lifecycle analysis in two
ways: (1) statistical manufacturing process control
which treats pollution as a product defect, and (2)
the cost of compliance with regulations. The “inter-
nalization of externalities” will be analyzed with the
same degree of mathematical rigor that engineers
traditionally utilize only for models of physical sys-
tems.
4.21 Programming Pollution
Prevention and Waste
Minimization Within a Process
Simulation Program
Now we will discuss the programming of a waste
minimization/pollution prevention program within
the process simulation program so that we have a
truly holistic program which prevents pollution at
the source, does not allow a production plan without
disallowing any waste or pollution to ensue, and at
the same time optimizes the profit and minimizes
the cost of the plant including the operational costs.
In order to do this we have at least three subpro-
grams and several data files for assistance. The
programs used are Chemkin and Envirochemkin for
chemical kinetics of at least 50 species in 100 equa-
tions, THERM and specifically Thermrxn, and
SYNPROPS, the program that finds physical chemi-
cal and biological properties for each molecular struc-
ture and conversely finds molecular structure for
specific properties. Data files will also be used, such
as those of Alexander Burcat and Bonnie McBride,
“1915 Ideal Gas Thermodynamic Data for Combus-
tion and Air-Pollution Use,” Technion Aerospace
Engineering (TAE) Report #732 January, 1995. Also
used is a simple table “Estimates Rate Constants for
Reactions” and a large matrix of properties vs. chemi-
cal groups derived from Synprops.
Now it should be noticed that in Synprops a large
number of variables can be constrained. Let us pro-
pose that our system is made up of the elements
carbon, hydrogen, oxygen, and nitrogen only. Now
we can constrain the gram-atoms or mass of each of
these elements to be constant and equal to what
they were on input. Thus if, let us say, the solubility
parameter is maximized, under these circumstances,
we will find a compound with maximum solubility
parameter wth a stoichiometric formula correspond-
ing to that we specified. Similarly, we can set up
species to have toxicity in air, in water, in soil, etc.
that deigns the specie as not toxic to man or animal
and is considered non-toxic by the regulatory agen-
cies. So now we have a case where a toxic chemical
shows up in a process plant and we know that it
proceeds to become one of several other species that
are found to be benign, then we must be on our way
to pollution prevention for our process.
Two programs then come to our aid. Thermrxn is
a subprogram of THERM. If we have the thermody-
namic functions for the species concerned, and we
can write out the chemical equation, then Thermrxn
will print out tables of the thermodynamic functions
of the reaction involved over a range of temperatures
of interest including the equilibrium constants, free
energy, as well as the enthalpy, entropy, and the
energy and also the ratio of the rate constant in the
forwards direction as well as the rate constant in the
backward direction. So now we know, mainly from
an equilibrium point of view, how likely the reaction
will proceed as planned. If the result is positive, then
we insert the chemical mechanism into Chemkin or
Envirochemkin. There as mentioned before we may
have approximately 100 equations and 50 species.
We may need to have rate constants for this dubious
reaction. In that event we can use numbers from the
table, Estimated Rate Constants for Reactions, which
are approximate and based on the number of atoms
constituting the molecules and whether they are
linear or non-linear. Also, Chemkin can be run in
several modes, i.e., isothermal, adiabatic, constant
volume, constant pressure, etc. This allows further
leeway.
After a mode is run in statistical fashion and we
know the bounds on each species, we take the ith
species and form the fraction Ci/ki = li where C is the
concentration and k is the toxicity standard and we
© 2000 by CRC Press LLC
test whether the value of li is << then mi. If this is so,
we have achieved pollution prevention for this par-
ticular species. We may then have to test all other
species (particularly byproducts and hazardous spe-
cies) in the same way. This method is for pollution
prevention. For Waste Minimization, we may pro-
ceed in a similar way except that the values of mi for
all modes, form a curve and the the minima of the
curves for all species then would accomodate Waste
Minimization.
We wish to be non biased as to the products of
reaction we allow in Chemkin. Let us suppose the
process only has four chemical elements. Then:
C H O N
C C2 CH CO CN
H CH H2 OH NH
O CO OH O2 NO
N CN NH NO N2
C3 C2H C2O C2N C2H CH2 HCOHCN C20 HCO
CO2 NCO C2N HCN NCO CN2
C2H CH2 CHO HCN CH2 H3 H2O NH2 HCO H2O
HO2 HNO HCN NH2 NHO N2H
C2O HCO CO2 NCO HCO H2O HO2 HNO CO2 HO2
O3 NO2 CO HNO NO2 N2O
C2N HCN NCO CN2 HCN NH2 HNO HN2 NCO HNO
NO2 N2O CN2 HCN HNO N3
Notice that we have formed a tree in permuting the
elements. In the first row we have all possible di-
atomic molecules and free radicals . In the second
row we have all the tri atomic molecules or free
radicals. They were generated by multiplying all the
diatomics by the scalar quantities C, H, O, or N. We
stopped the tree there. I have found all the mol-
ecules generated in significant quantity in my com-
puter runs except for H3 and N3. Yet lately there was
an article that N3 was important in certain circum-
stances. The very important atomic specie C, H, O,
and N were left out in the tree above but they must
be included. The tree was stopped in the tree above
at the tiatomic level but in practice the next step
involves multiplying each 4 × 4 matrix by C, H, O,
and N, until we reach formulas CxHyOzNw, where
the value of n = x + y + z + w reaches a level that
yields a total number of compounds smaller or equal
to 100. Notice, however that the number of com-
pounds accessed already above is about three dozen.
Notice also that the matrices are symmetrical and
each compound is counted only once.
Now we may think of the matrix as three dimen-
sional, i.e., as if it was like the inside of a PC. First
we have the diatomic slice and behind it the four
triatomic slices and so on. Now the elemental value
for each compound changes as we compute to the
latest value of the concentration of the molecule
represented by that particular element. However,
the element also contains the toxicological standard
for that particular molecule so that when the calcu-
lation of the concentration divided by the standard
is low enough that molecule can be eliminated from
the computations. In order to have this happen the
calculations should be run in all its modes, i.e.,
isothermal, adiabatic, constant temperature, con-
stant volume, variable temperatures, and variable
pressures.
4.22 Product and Process Design
Tradeoffs for Pollution Prevention
There are significant parallels between design for
manufacturability and design for the environment:
1. In the past, designers were not directly con-
fronted with the effect of their designs on the
manufacturing process or the environment;
2. Traditional analytic design procedures are not
capable of dealing with these issues in a math-
ematically rigorous manner;
3. Both involve the harsh realities of unavoidable
tradeoffs.
4. The interplay between product and process de-
sign is significant.
This project sought to develop a new design meth-
odology that integrate current multiobjective design
optimization with statistical process quality control
and lifecycle analysis. The basis of the method is the
internalization of previously external environmental
impacts into concurrent engineering.
4.23 Incorporating Pollution
Prevention into U.S. Department
of Energy Design Projects
Pollution Prevention seeks to eliminate the release of
all pollutants (hazardous and non-hazardous) to all
media (land, air, and water). Beyond eliminating
pollution prevention at the source, pollution preven-
tion includes energy conservation, water conserva-
tion, and protection of natural resources. Therefore,
pollution prevention addresses not only wastes exit-
ing a process, but materials entering and being
consumed by the process as well. Historically, pol-
lution prevention activities within the U.S. Depart-
ment of Energy (DOE) have focused on existing pro-
cess waste streams — the Pollution Prevention
Opportunity Assessment (P2OA) being the central
tool for identifying and implementing pollution pre-
vention opportunities.
© 2000 by CRC Press LLC
The software used here was a good template for
tracking pollution prevention features implemented,
but the database behind the template seemed spotty.
The software should be able to compute lifecycle
costs and to have a clear treatment of operating and
maintenance costs of selected opportunities. How-
ever, the Electronic Design Guideline (EDG) software
is not intended to be computational. It is intended to
raise awareness and provide specific examples of
pollution prevention design opportunities. The user
must then compute the cost and benefits of imple-
mentation specific to their project circumstances.
4.24 EPA Programs
EPA’s new chemical program under the Toxic Sub-
stances Control Act (TSCA) plays an important role
in preventing pollution. TSCA requires that EPA
review new chemicals for the risks they may pose to
human health and the environment before they en-
ter the market. Anyone who plans to manufacture or
import a new chemical substance must provide EPA
with a pre-manufacture notice (PMN) at least 90
days prior to the activity. To determine whether a
substance is “new”, the company must consult EPA’s
Inventory of Chemical Substances (the TSCA Inven-
tory). If the substance is not listed, it is a “new”
chemical. EPA personnel are also evaluating com-
puter-based software for synthesis design and new
chemical substances that may be safer substitutes
for chemicals currently used, or that will be created
via pollution prevention processes. During the course
of PMN, EPA has identified the following desirable
criteria:
Test data on the PMN substance itself (toxicity
and fate).
No reports of adverse effects.
Safer substitute.
Less toxic or fewer toxic associated chemicals.
Safer pollution prevention, source reduction, or
recycling processes that reduce exposure/re-
leases.
Successful implementation or a recommenda-
tion resulting from EPA’s “Alternative Synthetic
Pathway”.
The use of the chemical substance should be
environmentally beneficial rather than harmful.
Conservation of energy and water during manu-
facturing, processing, or use.
 No TSCA enforcement actions filed against the
PMN submitter within the past year.
4.25 Searching for the Profit in
Pollution Prevention: Case Studies
in the Corporate Evaluation of
Environmental Opportunities
A perception of P2 is that, although it exists, it is too
slow. Evidence contradicts the view that firms suffer
from organizational weaknesses that makes them
unable to appreciate the financial benefits of P2
investments. Instead, the projects foundered be-
cause of significant technical difficulties, marketing
challenges, and regulatory barriers. In addition, there
are environmental policy reforms likely to promote
P2 innovation.
Of late, regulators and private industry are turn-
ing to the environmental strategies that target the
causes, rather than the consequences, of polluting
activities. P2 is a challenge for the private sector
because it requires diverse forms of innovation. In-
novation is difficult and often costly and inherently
uncertain and firms must find new ways of integrat-
ing environmental concerns into the corporate plan-
ning process. There is an implication of evidence
that companies fail to pursue P2 opportunities that
would profit them.
Cases of five company examples were studied to
shed light on this matter. The results say much
about the way in which firms are regulated. Also, a
fruitful approach is to focus on barriers to P2’s
profitability. Efforts to promote regulatory flexibility
and innovations should be embraced. The regula-
tions should be performance-based in the redesign
of complex products and processes in ever-changing
markets. Emission standards should be applied to
broader categories of effluent rather than individual
substances. Performance-based environmental per-
mitting should be explored as a means to lower
barriers and constraints. Such flexibility would fos-
ter better environmental accounting information and
methods. This would help decision-making too. The
technical identification of P2 opportunities may well
be served by greater efforts at basic R & D and firm
specific material accounting.
4.26 Chemical Process Simulation,
Design, and Economics
NRC’s (ICPET), Institute for Chemical Process and
Environmental Technology, specializes in develop-
ing innovative computer modeling and numerical
analysis techniques. Canadian industries use these
to improve design and operation of chemical and
manufacturing process systems and products.
© 2000 by CRC Press LLC
Additional software-based support helps clients
explore additional cost implications that result from
the impact of industrial processes on the environ-
ment
ICPET also has related expertise in computational
fluid dynamics and reactive flow modelling and en-
vironmental methodologies.
4.27 Pollution Prevention Using
Process Simulation
Chemical process simulation techniques are being
investigated as tools for improving process design
and developing clean technology for pollution pre-
vention and waste reduction.
HYSYS, commercially available process simula-
tion software, is used as the basic design tool. ICPET
is developed customized software, particularly for
reactor design, as well as custom databases for the
physical and chemical properties of pollutants, that
can be integrated with HYSIS. Using these capabili-
ties, studies are being carried out to verify reported
emissions of toxic chemicals under “voluntary-ac-
tion” initiatives and to compare the performance of
novel technology for treating municipal solid waste
with commercially available technology based on
incineration processes.
4.28 Process Economics
ICPET’s simulation capability includes process eco-
nomics for pollution prevention. Research is focused
on establishing methods that will estimate the cost
of environmental management systems (EMS) in-
cluding contingent environmental liability costs as-
sociated with a given design for a manufacturing or
a chemical process. This capability complements the
conventional process economics methodologies in
HYSIS. Therefore, clients can access a very
conprehensive package of process design and eco-
nomic assessment tools. These tools allow them to
evaluate cost effective approaches for optimizing
chemical processes for pollution prevention within
complex operating constraints.
4.29 Pinch Technology
Pinch technology is the analysis of the energy usage
of plants and then the optimization of the plant
process from the viewpoint of the qualitatively effec-
tive use of heat. Process analysis using pinch tech-
nology started in 1992 at an ethylene oxide plant
and in 1993 at an ethylene plant. Energy-saving
rationalization enabled by these analyzes was imple-
mented stating in 1995.
Pinch technology was developed in 1978 by Linhoff
of Lead University in the United Kingdom, then put
into practical use in 1984, by Linhoff March Co.
Pinch technology is a method of using the overall
thermal balance of a process to theoretically predict
minimum energy consumption, the construction
costs of the plant using a heat recovery system and
other information. These predictions are then em-
ployed as targets for the design or renovation of the
process.
4.30 GIS
Geographic Information Systems (GIS) Computer
programs manipulate and analyze spatial data. The
environmental field continues to make up a large
part of the GIS market. This includes site assess-
ment and cleanup, wildlife management, pollution
monitoring, risk analysis, vegetation mapping, and
public information. Natural resource managers use
or are familiar with GIS. Most people do not have the
ability to carry an entire map in their head, and GIS
gives you the ability to organize the information in a
real-world manner. It allows you to put together
maps more simply and they are produced faster. It
allows you to put information together from different
sources that you would probably not ever have a
reason to put together, and make sense of it easily.
Whatever the definition, GIS shares the ability to
integrate and manipulate spatial data that have been
“geocoded” or fixed in geographic space. These may
include census data, ZIP codes, or digital photo-
graphs. Environmental researchers might use data
on watershed boundaries, pesticide loading figures,
EPA air quality readings, or locations of chemical
factories. A GIS program typically deals with these
various attributes in “layers,” mixing and matching
the information to reveal associations.
GIS is also changing the way data are collected.
Inexpensive and portable global positioning system
(GPS) receivers, which use satellite navigation to
pinpoint a location, are now commonly used in field
operations to provide accurate digital data for use in
a GIS model. Lighweight “pen” computers and speech
recognition software also can be used to produce
digital field notes that can be easily plugged into GIS
database. The database becomes the product of GIS,
rather than its input. The next step in the evolution
of GIS, is to merge 3-D GIS applications with com-
puterized techniques for “scientific visualization”
which adds the fourth dimension of time. This con-
vergence, which has just begun, will eventually pro-
duce rich, 4-D animations showing complex envi-
ronmental processes.
4.31 Health
Chronic environmental effects are normally consid-
ered to be a function of the time-integrated concen-
© 2000 by CRC Press LLC
tration to which a receptor is exposed, or dose,
which is formally defined by
D=∫0t C(t)Qdt
Here D is the dose in milligrams of contaminant
absorbed, inhaled, or ingested; C(t) is the time de-
pendent concentration in the medium to which the
individual is exposed; and Q is the volumetric rate of
intake of that medium by the individual. The estima-
tion of the intake dose involves translation of the
exposure concentration into the rate of mass uptake
by members of the at-risk population. The basic
relationship required to estimate intake dose can be
written
ID = C.CR.EF.ED/Wt.τ
where
ID = Intake dose (mg.kg .day )
C = Exposed concentration (e.g., mg/L)
CR = Contact rate with medium containing con
taminant (e.g., L/day)
EF = Exposure Frequency (days/year)
ED = Exposure duration (years)
Wt = Body weight (kg)
τ = Averaging time (days)
The Hazard Quotient is then
HQ = ID/RfD
where
HQ = Hazard Quotient
ID = Intake dose (mg.kg-1.day -1)
RfD = Reference Dose (mg.kg-1.day-1)
The Hazard Index is
HI = ∑i (HQ)i
where
HI = Hazard index
I = Contaminant and pathway index
HQi = Hazard quotient for contaminant or
pathway i
Carcinogenic Risks
The lifetime cancer risk is assumed to be modeled by
the equation
Risk = 1-exp(-(ID.PF))
where
Risk = Risk of contracting cancer over a lifetime
ID = Intake dose (mg.kg-1 .day-1 )
 PF = Cancer potency factor from the slope of the
dose-response relationship (mg.kg-1.day-1 )
For low levels of risk (risk<10-3), this relationship is
approximated by
Risk = ID.PF
The cumulative effect is again summed
Risk = Si (Risk)i
If the calculated total risk exceeds 10-4 -10-6 excess
lifetime cancer risk, then the risk is normally con-
sidered unacceptable.
4.32 Scorecard-Pollution Rankings
The Chemical Scorecard issued by the Environmen-
tal Defense Fund on the Internet has proved to be a
very important method for ascertaining not only the
pollution in a geographical part of the country but
also who is responsible for causing it. It ranks states,
counties, zip codes, and facilities by pounds of pol-
lution. It can be customized by type of pollution (air,
water, ground) and it’s data is manipulated from the
Toxic Release Inventory of the EPA.
Scorecard can also rank some large industrial
plants by their environmental performance (e.g.,
pounds of pollution per barrel of oil produced). These
rankings were only available for plants in five indus-
trial sectors but this is growing.
The U.S. EPA’s Toxic Release Inventory was estab-
lished by Section 313 of the Emergency Planning
and Community Right-To-Know Act of 1986 (EPCRA).
Under EPCRA, manufacturing facilities in specific
industries are required to report their environmen-
tal releases and chemical waste management annu-
ally to EPA. Covered facilities must disclose their
releases of approximately 650 toxic chemicals and
chemical categories to air, water, and land, as well
as the quantities of chemicals they recycle, treat,
burn, or otherwise dispose of on-site and off-site.
Scorecards 1996 TRI data is derived from the
reports of over 21,500 manufacturing and federal
facilities. Actually, scorecard provides environmen-
tal release profiles on an even larger set of facilities
(over 23,000), because the system continues to pro-
vide access to archived reports on facilities with
1995 TRI data, even if they are no longer reporting
to TRI.
Even so, there are limits to TRI data:
1. TRI does not cover all toxic chemicals that have
the potential to adversely affect human health
or the environment.
© 2000 by CRC Press LLC
2. TRI does not require reporting from many major
sources of pollution releases.
3. TRI does not require companies to report the
quantities of toxic chemicals used or the amounts
that remain in products.
4. TRI does not provide information about the ex-
posures people may experience as a consequence
of chemical use.
Scorecard provides two types of information about
the potential health hazards of chemicals reported
to the TRI. It identifies the kinds of health effects
specific chemicals may cause, relying on the find-
ings of authoritative scientific and regulatory orga-
nizations, and on scientific studies compiled in major
toxicology databases. It also ranks chemicals by
their potential to cause either cancer or noncancer
health risks, relying on a sophisticated scoring sys-
tem developed by scientists at EDF in collaboration
with colleagues at the School of Public Health, Uni-
versity of California at Berkeley.
Scorecard identifies chemicals that can cause can-
cer, harm the immune system, contribute to birth
defects, or lead to nine other types of health im-
pacts. Chemicals with health hazards that are widely
recognized by authoritative scientific organizations
are listed separately from the chemicals whose haz-
ards are only suspected on the basis of more limited
data. Scorecard uses the State of California’s official
list of chemicals with known toxic properties as its
source for chemicals that are recognized to cause
cancer, reproductive toxicity, and/or developmental
toxicity.
Scorecard can rank manufacturing facilities using
raw TRI data and it can rank some industrial plants
using pollution measures that have been normalized
to take into account production levels. Production
levels have an important impact on chemical re-
leases and waste generation: large manufacturing
operations generally use and release more chemi-
cals than smaller operations. The different levels of
production across plants should be taken into ac-
count.
While the overall volume of chemicals released are
a concern to host communities, raw TRI data does
not provide the best indicator of the chemical use
efficiency of a plant. Scorecard can also rank plants
by various measures that take into account produc-
tion differences between plants. Normalized values
for Scorecard’s 40 ranking categories are calculated
by dividing a plant’s release data by its production
data.
Normalized values are only used to compare plants
within the same industrial sector, because the nor-
malizing unit obviously varies across manufacturing
sectors. Scorecard only generates production-nor-
malized rankings for nine sectors:
Automobile Assembly
Iron and Steel Mills (Integrated)
Iron and Steel Mills (Mini)
Petroleum Refining
Pulp and Paper Mills
Nonferrous Metals (Aluminum)
Nonferrous Metals (Copper)
Nonferrous Metals (Lead)
Nonferrous Metals (Zinc)
Scorecard displays raw rankings side by side with
normalized rankings. To find a plant that could
potentially improve its environmental performance,
look for one that ranks high in the “raw rank” col-
umn and high in the “normalized rank” column.
This means that they are likely not doing as well as
their counterparts at reducing waste per unit of
production. To find plants that are doing better than
others within the same sector, look for the plants
that rank high in the “raw rank” column but low in
the “normalized rank” column.
Large differences (e.g., differences greater than a
factor of ten) in normalized rank probably are more
important to pay attention to than small differences,
as no two facilities are identical and there may be
good reasons for small differences in seemingly simi-
lar plants.
Scorecard data on plant production capacities is
obtained from the EPA’s 1998 Sector Facility Index-
ing Project (SFIP). SFIP defines production data as
an indicator of the overall production and a surro-
gate for the size and complexity of a plant’s opera-
tions.
4.33 HAZOP and Process Safety
The method used for hazards analysis at a process
facility involving P&IDs is a HAZOP analysis. This
was developed to identify and evaluate the safety
hazards in a process plant, and to identify operabil-
ity problems which, although not hazardous, could
compromise the plant’s ability to achieve design
productivity.
HAZOP is a simple, structured methodology for
hazard identification. It is designed to inspire imagi-
native thinking (or brainstorming) by a team of ex-
perts to identify hazards and operational problems
while examining a process or system in a thorough
and systematic manner.
A HAZOP study involves a systematic, methodical
examination of design documents that describe the
facility. The study is performed by a multidisciplined
team to identify safety hazards or operability prob-
lems by evaluating deviations from design intents.
© 2000 by CRC Press LLC
During the initial stages of the HAZOP study, PLG
establishes a risk ranking matrix with severity
rankings and frequency rankings to allow for a quali-
tative assessment of the consequences of each haz-
ard. This matrix allows the HAZOP team to screen
each identified hazard and to assign a priority that
will focus subsequent corrective action on signifi-
cant potential hazards rather than on those that are
insignificant, trivial, or operational concerns.
To accomplish this qualitative assessment of risk,
each hazard event is ranked through a team consen-
sus judgement in two ways: first, deciding the sever-
ity of the consequences of the event, and second,
deciding the expected frequency or likelihood of the
scenario resulting in the consequences identified for
the hazard. The consequence severity and event
likelihood used in ranking the hazards are found in
HAZOP studies.
4.34 Safer by Design
Any conference on safety will have many papers on
safety management systems — they are in fashion
and are an undoubted improvement on the ad hoc
methods of the past. The papers usually list the
steps to be followed in dealing with hazards:
Identify, using a systematic technique such as
hazard and operability studies (Hazop); prevent,
if possible by adding on protective equipment, if
not, by procedures; control; and mitigate the
consequences of the hazard.
This process is followed until the combination of
probability and consequences is as low as reason-
ably practicable, and for major hazards quantitative
methods are often used. Only rarely is the first step
followed by ‘avoid’, yet it seems obvious that when-
ever possible we should do so. Consider a simple
analogy: the most hazardous piece of equipment in
our homes is the stairs; more people are killed or
injured by falling down them than any other way.
The traditional methods of prevention and control
are to train people to use the handrails, to keep the
stairs free from junk and to make sure the carpet is
secure. The way to avoid the hazard — if we regard
the risk of falling as too high — is to buy a bungalow.
This is an inherently safer solution because it does
not depend on equipment that might fail or proce-
dures that might be ignored. You can’t fall down
stairs that aren’t there.
Interest in inherently safer designs was stimulated
by the explosion at Fixborough in 1974. The leak
was so large (about 30 to 50t) and the explosion was
so devastating because the inventory in the plant
was large (several hundred tonnes). The inventory
was so large because only about 6% of the raw
material was reacted per pass; the rest got a free ride
and had to be recovered and recycled. Reducing the
inventory is not easy and the only company that
tried to do so for this process soon abandoned the
research because it saw no need for a new plant in
the forseeable future.
Ten years later, interest in inherently safer designs
was boosted by the disaster at Bhopal. Methyl iso-
cyanate, the material that leaked and killed over
2000 people, was not a product or raw material, but
an intermediate. It was convenient to store it, but
not essential to do so, a point missed by most com-
mentators. Yet within a year Union Carbide and
other companies had reduced their stocks of methyl
isocyanate and other hazardous intermediates by as
much as 75%.
The most widely used method of inherently safer
design is intensification: using so little of hazardous
material that it hardly matters if it all leaks out.
Today hazardous intermediates such as phosgene
are increasingly manufactured at the point of use
and the only stock is a few kilograms in a pipeline.
Intensified designs are available for reactors, liquid-
vapor contacting equipment, mixers, scrubbers, dry-
ers, liquid-liquid extractors, heat pumps, etc. Inher-
ently safer designs are usually cheaper as well as
safer, because less added on protective equipment is
needed. In addition, if we can intensify, the saving is
cheaper because intensified equipment is smaller
and therefore cheaper. To use the popular phrase,
safety need not be a ‘zero sum game’.
If we cannot intensify, an alternative is substitu-
tion: using safer materials. Thus non-flammable or
less flammable, non-toxic or less toxic solvents, re-
frigerants and heat transfer can be used in place of
flammable or toxic ones; water-based paints can
replace solvent-based ones. Chlorofluorocarbons
(CFCs), hailed as wonder refrigerants when they
were introduced, are now known to affect the ozone
layer and there has been a move back to liquefied
petroleum gases (LPG) and ammonia, although
hydrofluorocarbons (which do not damage the ozone
layer) and hydrochlorofluorocarbons (which cause
much less damage than CFCs) are now available. In
some ethylene oxide plants the hundreds of tonnes
of boiling paraffin used to cool the reactor tubes is
a bigger hazard than the mixture of ethyne and
oxygen in the tubes; more modern plants use water
cooling.
Apart from substituting auxiliary materials we can
also make changes in the chemistry. The product
made at Bhopal, the insecticide carbaryl, is made
from a-naphthol, methylamine, and phosgene. At
Bhopal, the first two of these were reacted together
to make methyl isocyanate (MIC). The MIC was then
reacted with a-naphthol to make carbaryl (Scheme
© 2000 by CRC Press LLC
1). In an alternative process the same three raw
materials are used, but they are reacted in a differ-
ent order. α-Naphthol and phosgene are reacted
together to give a chloroformate ester, which is then
reacted with methylamine. No MIC is produced.
Neither process is ideal because both involve the
use of phosgene, but the second process at least
avoids producing MIC. More fundamentally, instead
of carbaryl could we make an alternative insecticide
that is safer to produce, develop pest-resistant plants,
or make use of natural predators? I am not suggest-
ing that we should — these ideas have disadvan-
tages — only that the question should be asked.
Design Constraints
If we cannot intensify or substitute, and we have to
use or store a large amount of hazardous material,
we should handle it in the least hazardous form.
Thus, large quantities of ammonia, chlorine, and
LPG are now usually stored refrigerated at low pres-
sure below their boiling points rather than under
pressure at atmospheric temperature; if a leak should
occur, the driving force is low and evaporation is
small.
Another route to inherently safer design is to limit
the energy available. It is better to prevent overheat-
ing by limiting the temperature of the heating me-
dium, such as steam, than to rely on interlocks,
which may fail or be disconnected.
Simpler plants are safer than complex ones be-
cause there is less equipment to fail and fewer op-
portunities for human error.
Inherently safer design has been adopted far more
slowly than HAZOP or quantitative risk assessment,
both introduced only a few years earlier, for a num-
ber of reasons, some of which are common to all
innovations:
Innovation requires more time than repeating an
earlier design, time that is usually not available. We
should, therefore, try to recognize the need for new
plants sooner than we have done in the past. When
designing a plant we are conscious of all the changes
we would like to make, but cannot do so this time
round, so despite the pressure on numbers of people
we should give some thought to ‘the plant after next’.
We like to follow the procedures — in plant design
and everything else — that we have always followed.
New processes or equipment may produce unfore-
seen problems that will delay or prevent the achieve-
ment of flowsheet output. Better to stick to designs
that we know. There are good reasons for these
fears. During the 1960s a new generation of plants
was built, larger than those built before, operating
under more extreme conditions. At the same time
there was a demand for minimum capital cost. Many
of these new plants required extensive modification
and the expenditure of much money and effort be-
fore flowsheet output was achieved. The industry
had burnt its fingers and tended to play safe for
many years afterwards.
About 1980 a senior engineer in an international
chemical company was asked to survey attitudes to
innovation. He read through about 15 major expen-
diture proposals submitted to the head office for
approval and found that all but a few claimed, as an
advantage, that no innovation was involved. (In one
or two cases he suspected that there was some
innovation, but the originators concealed the her-
esy.)
In the chemical industry despite Flixborough and
Bhopal, many managers still believe that they can
handle large inventories safely. However, when we
are dealing with hazardous materials, only very low
failure rates — of people and equipment — are
acceptable today and these rates are often beyond,
or close to, the best that people and equipment can
provide. We can keep up a tip-top performance for
an hour or so while playing a game or a piece of
music, but not everybody, everywhere, all the time.
The influence of licensers and equipment suppli-
ers is firmly on the side of tradition. Why develop
new processes and designs when there is a market
for those we have already?
Not all innovators recognize the need to sell their
ideas. Ideas do not sell themselves. Ramshaw has
discussed the qualities necessary for innovation in a
large company:
1. Exceptional tenacity; it takes a long time to
persuade colleagues to accept innovations.
2. Allies and collaborators within the company who
will receive credit for any success.
3. An ability to spot applications and demonstrate
satisfactory and economic performance.
There are also constraints to which inherently
safer designs are particulaly prone:
In asking for intensified and other inherently safer
designs we are asking for more than better widgets;
we are asking for a change in the design process.
This is inevitably slower than a change in the tech-
nology. Many engineers are happier carrying out
calculations than handling ideas. My ‘how to’ books
sell more copies than my idea books. Universities
tend to teach calculation methods rather than the
innovative approaches such as intensification.
Companies today tend to be organized in business
areas rather than functional departments such as
research and design. With this sort of organization
there may be no central department to sponsor de-
velopments that might benefit the company as a
whole, but which no single business or project can
afford.
© 2000 by CRC Press LLC
Will intensification make control more difficult?
Large inventories of equipment such as reactors or
the bases of distillation columns have a damping
effect, smoothing out the effect of minor changes in
feed composition, heat input, and other variables.
Control engineers are confident that overcoming
reductions is not an insuperable problem, though in
some cases faster responding instruments may be
needed. This constraint is not real.
Large inventories between the section of a plant
allow the rest of a plant to operate when part is shut
down. The need for them, however, is a self -fulfilling
prophecy: if they are there we use them and carry
out repairs at leisure. If we do not have them — the
Japanese philosophy — we carry out repairs more
promptly.
Many intensified designs use moving parts whereas
the traditional designs do not. This is often quoted
as a disadvantage even though the mechanical en-
gineering is well proven. As with control, we have to
overcome a perception that may not be real, but is
widely believed.
A study carried out for the Health and Safety
Executive found that lack of constraint was a major
constraint. It found that safety advisers are now
familiar with the concept of inherently safer design,
including intensification, but that there is still a lack
of general awareness in design organizations and
among senior managers. There is a need to raise
awareness and to develop techniques and tools that
will make it easier for designers to use intensified
designs.
There is a lack of investigative tools, similar to
hazard and operability studies, for examining de-
signs and uncovering ways of introducing intensi-
fied and other inherently safer designs.
The Actions Needed
Most of the actions needed follow automatically from
the descriptions of the constaints, but some are
worth further discussion.
We will not get intensified and other inherently
safer plants unless designers are convinced that
they are possible and desirable. We have got to keep
on spreading the message. One single publication of
an example or a technique is not enough to catch
the eyes of those who might make use of it. We need
an ‘orthodontic’ approach: continuous steady pres-
sure over the years.
However, designers do not live and work in a
vacuum, but are influenced by the culture of their
organization. If it is unsympathetic to innovation,
they will produce traditional designs. Those at the
top have to set the tone. Statements of policy carry
little weight. The little things count for more. If a
designer sees an expenditure proposal supported by
a statement that no innovation is involved, put for-
ward as a reason for satisfaction, s/he assumes that
the innovation is not wanted.
Senior managers, for example, could ask for an
annual report on the progress made in reducing
inventories, and before authorizing the construction
of a new plant they could ask how its inventory
compares with that of the last one. A Japanese
industrialist who joined the board of ICI was sur-
prised to find that they did not discuss new tech-
nologies and the progress made in implementing
them.
In the U.K., although not in other countries, all
chemical engineers receive some training in safety
and loss prevention, but inherently safer design
(including intensification) is not always included. It
should be. Students should be taught that safety is
not — or should not be — a coat of paint that can be
added to their design by a safety expert, but an
integral part of the design for which they are respon-
sible. Students who are not familiar with inherently
safer designs have not been equipped for their fu-
ture careers.
Inherently safer design has grown slowly, but it is
an oak tree that will mature slowly and last a long
time.
4.35 Design Theory and
Methodology
D. L. Thurston has written a series on this topic.
Three of them are reviewed here.
Product and Process Design Tradeoffs for
Pollution Prevention
Significant parallels exist between design for
manufacturability and design for the environment:
(1) In the past designers were not directly confronted
with the effect of their design on the manufacturing
process or the environment; (2) traditional analytic
design procedures are not capable of dealing with
these matters in a mathematically rigorous manner;
(3) both involve the harsh realities of unavoidable
tradeoffs; and (4) the interplay between product and
© 2000 by CRC Press LLC
process design is significant. This project seeks to
develop a new methodology that integrates concur-
rent multiobjective design optimization with statisti-
cal process quality control and analysis. The basis of
the method is the internalization of previously exter-
nal environmental impacts into concurrent engi-
neering.
Pollution Prevention and Control
Upcoming amendments to the Clean Air Act require
industry to install expensive pollution control sys-
tems. Pollution Prevention methods can decrease
pollution control costs, but might also require
tradeoffs between treatment cost, manufacturing
cost, product quality, customer satisfaction, reli-
ability, manufacturability, and other attributes. In
addition, tradeoffs between environmental impacts
that occur at different cycles of the life cycle might
be necessary. This project does not presume to iden-
tify the “environmentally” correct design alternative.
Rather, we are developing a structured framework
within which engineers can rationally consider
tradeoffs between environmental impacts, manufac-
turing cost, pollution control cost and product per-
formance.
Integrating Environmental Impacts into
Product Design
This project will develop a formal method for inte-
grating impacts directly into the product engineer-
ing design process. This requires consideration of
tradeoffs between traditional engineering design is-
sues, quality, manufacturing cost, and environmen-
tal impact. A methodology by which engineers can
rationally examine these tradeoffs and develop alter-
natives that are optimal in the sense of maximizing
overall design utility will be developed. The benefit
realized by this projects is that designers will be able
to consider the environmental impact at the very
beginning of the product design process, and will
make decisions which have a less detrimental im-
pact on the environment.
 Part V. Pathways to Prevention
5.1 The Grand Partition Function
Upon studying such topics as mass integration of
El-Hawagi et alia, certain matters seem to occur in
the mind of a theoretical physicist. First of all, the
difference between energy integration and energy
plus mass integration seem similar to that between
the canonical ensembles and the grand canonical
ensembles of statistical mechanics in the minds of
the theoretical chemist and physicist. Very briefly,
the Grand Canonical Ensemble (G.P.F.) is defined as
(G.P.F.) = (P.F.)NeNu/kTλN ,
where λN = exp(u/kT), and
(P.F.)= ∑i Ωie-Ei/ kT
and (P.F.) is used in the canonical ensemble.
Now u is the chemical potential that controls the
movement of particles (hence mass) into or out of the
system, whereas E denotes the movement of energy
or heat out of the system.
On researching order-disorder or cooperative phe-
nomena, it was found that probabilities of occur-
rence of particulate matter was denoted by a direct
product of the factor x times the factor y, each raised
to appropriate powers. Now if x denotes matter (or
material) and y denotes energy or energy of interac-
tion and if the x and y are very large numbers, we
would have expressions quite similar to the G.P.F.
The successive filling of sites and the creation of
bonds, starting with a completely empty figure of
sites can be symbolized by mis. Then for each site
filled, introduce a factor, x; for each short range
bond formed, introduce a factor, y; for each long
range interaction formed, introduce the factor, z.
Each of these factors is to be raised to an appropri-
ate power. The power of x is the number of sites of
one type filled; the power of y is the number of short-
range bonds of on type filled, and the power of z is
the number of long-range bonds formed.
For example, if g sites become occupied and h of
these sites are of the type a, then g-h are of type b.
© 2000 by CRC Press LLC
Suppose further that r short range bonds and t long
range bonds are formed. The equilibrium constant
for such a “reaction” will then be
mis = [x]g-h [x’]h [y]r [z]t [y’]s
and it remains to find the values of x, x’, y, and z.
This can be done by setting up the various sets of
equations among the various geometrical figures
involved. Such equations are called consistency equa-
tions and normalizing equations.
5.2 A Small Part of the
Mechanisms from the Department
of Chemistry of Leeds University
**********************************************************************;
* INORGANIC CHEMISTRY ;
**********************************************************************;
* Ox/NOx CHEMISTRY ;
% J<1>: O3 = O1D ;
% J<2>: O3 = O ;
% 6.00D-34*O2*O2*((TEMP/300)@-2.8): O = O3;
% 5.60D-34*O2*N2*((TEMP/300)@-2.8): O = O3;
% 8.00D-12*EXP(-2060/TEMP): O + O3 =;
% KMT01 : O + NO = NO2;
% 6.50D-12*EXP(120/TEMP) : O + NO2 = NO;
% KMT02 : O + NO2 = NO3;
% 3.20D-11*O2*EXP(70/TEMP) : O1D = O;
% 1.80D-11*N2*EXP(110/TEMP) : O1D = O;
% 1.80D-12*EXP(-1370/TEMP) : NO + O3 = NO2 ;
% 1.20D-13*EXP(-2450/TEMP) : NO2 + O3 = NO3;
% 3.30D-39*EXP(530/TEMP)*O2: NO + NO = NO2 +
NO2;
% 1.67D-06*(H0/H): NO2 = HONO ;
% 1.80D-11*EXP(110/TEMP): NO + NO3 = NO2 +
NO2 ;
% 4.50D-14*EXP(-1260/TEMP) : NO2 + NO3 = NO +
NO2 ;
% KMT03 % KMT04 : NO2 + NO3 = N2O5 ;
% 4.00D-04 : N2O5 = NA + NA ;
% J<4>: NO2 = NO + O ;
% J<5>: NO3 = NO ; % 1.82D-13*EXP(416/TEMP)*0.335*RO2 : CH3O2 =
% J<6>: NO3 = NO2 + O ; CH3OH ;
* HOx FORMATION, INTERCONVERSION AND RE- % 1.00D-14*EXP(1060/TEMP) : OH + CH3NO3 =
MOVAL ; HCHO + NO2 ;
% 2.20D-10*H2O : O1D = OH + OH ; % J<51> : CH3NO3 = CH3O + NO2 ;
% 1.90D-12*EXP(-1000/TEMP) : OH + O3 = HO2 ; % 1.90D-12*EXP(190/TEMP) : OH + CH3OOH =
% 7.70D-12*EXP(-2100/TEMP) : OH + H2 = HO2; CH3O2 ;
% 1.50D-13*KMT05 : OH + CO = HO2 ; % 1.00D-12*EXP(190/TEMP) : OH + CH3OOH =
% 2.90D-12*EXP(-160/TEMP) : OH + H2O2 = HO2; HCHO + OH ;
% 1.40D-14*EXP(-600/TEMP) : HO2 + O3 = OH ; % J<41> : CH3OOH = CH3O + OH ;
% 4.80D-11*EXP(250/TEMP) : OH + HO2 = ; * ETHANE ;
% 2.20D-13*KMT06*EXP(600/TEMP): HO2 + HO2 = % 1.51D-17*TEMP@2*EXP(-492/TEMP) : OH + C2H6
H2O2 ; = C2H5O2 ;
% 1.90D-33*M*KMT06*EXP(980/TEMP) : HO2 + HO2 % KRO2NO*0.991:C2H5O2 + NO = C2H5O + NO2;
= H2O2 ; % KRO2NO*0.009 : C2H5O2 + NO = C2H5NO3 ;
% KMT07 : OH + NO = HONO ; % 6.00D-14*EXP(-550/TEMP)*O2 : C2H5O =
% KMT08 : OH + NO2 = HNO3 ; CH3CHO + HO2 ;
% 2.30D-11 : OH + NO3 = HO2 + NO2 ; % KRO2NO3 : C2H5O2 + NO3 = C2H5O + NO2 ;
% 3.70D-12*EXP(240/TEMP): HO2 + NO = OH + % 7.50D-13*EXP(700/TEMP) : C2H5O2 + HO2 =
NO2 ; C2H5OOH ;
% KMT09 % KMT10 : HO2 + NO2 = HO2NO2 ; % 3.10D-13*0.6*RO2 : C2H5O2 = C2H5O ;
% 3.50D-12 : HO2 + NO3 = OH + NO2 ; % 3.10D-13*0.2*RO2 : C2H5O2 = CH3CHO ;
% 1.80D-11*EXP(-390/TEMP) :OH + HONO = NO2; % 3.10D-13*0.2*RO2 : C2H5O2 = C2H5OH ;
% KMT11 : OH + HNO3 = NO3 ;
% 1.50D-12*EXP(360/TEMP):OH + HO2NO2 = NO2; % 4.40D-14*EXP(720/TEMP) : OH + C2H5NO3 =
% 6.00D-06 : HNO3 = NA ; CH3CHO + NO2 ;
% J<3>: H2O2 = OH + OH ; % J<52> : C2H5NO3 = C2H5O + NO2 ;
% J<7>: HONO = OH + NO ; % 1.90D-12*EXP(190/TEMP) : OH + C2H5OOH =
% J<8>: HNO3 = OH + NO2 ; C2H5O2 ;
* SOx CHEMISTRY ; % 1.00D-11 : OH + C2H5OOH = CH3CHO + OH;
% 4.00D-32*EXP(-1000/TEMP)*M:O + SO2 = SO3; % J<41> : C2H5OOH = C2H5O + OH ;
% KMT12 : OH + SO2 = HSO3 ; * PROPANE ;
% 1.30D-12*EXP(-330/TEMP)*O2 : HSO3 = HO2 % 1.50D-17*TEMP@2*EXP(-44/TEMP)*0.307 : OH +
+ SO3 ; C3H8 = NC3H7O2 ;
% 1.20D-15*H2O : SO3 = SA ; % 1.50D-17*TEMP@2*EXP(-44/TEMP)*0.693 : OH +
C3H8 = IC3H7O2 ;
**********************************************************************; % KRO2NO*0.71*0.98 : NC3H7O2 + NO = NC3H7O
* ALKANES ; + NO2 ;
% KRO2NO*0.71*0.02:NC3H7O2 + NO = NC3H7NO3
**********************************************************************; ;
* METHANE ; % 3.70D-14*EXP(-460/TEMP)*O2 : NC3H7O =
% 7.44D-18*TEMP@2*EXP(-1361/TEMP) : OH + CH4 C2H5CHO + HO2 ;
= CH3O2 ; % KRO2NO3 : NC3H7O2 + NO3 = NC3H7O + NO2
% KRO2NO*0.999 : CH3O2 + NO = CH3O + NO2; ;
% KRO2NO*0.001 : CH3O2 + NO = CH3NO3 ; % KRO2HO2*0.64 : NC3H7O2 + HO2 = NC3H7OOH
% 7.20D-14*EXP(-1080/TEMP)*O2 : CH3O = HCHO ;
+ HO2 ; % 6.00D-13*0.6*RO2 : NC3H7O2 = NC3H7O ;
% KMT13 % KMT14:CH3O2 + NO2 = CH3O2NO2 ;
% KRO2NO3 : CH3O2 + NO3 = CH3O + NO2; % 6.00D-13*0.2*RO2 : NC3H7O2 = C2H5CHO;
% 4.10D-13*EXP(790/TEMP) : CH3O2 + HO2 = % 6.00D-13*0.2*RO2 : NC3H7O2 = NPROPOL ;
CH3OOH ; % 7.30D-13 : OH + NC3H7NO3 = C2H5CHO + NO2
% 1.82D-13*EXP(416/TEMP)*0.33*RO2 : CH3O2 = ;
CH3O ; % J<53> : NC3H7NO3 = NC3H7O + NO2 ;
% 1.82D-13*EXP(416/TEMP)*0.335*RO2 : CH3O2 = % 1.90D-12*EXP(190/TEMP) : OH + NC3H7OOH =
HCHO ; NC3H7O2 ;
% 1.53D-11 : OH + NC3H7OOH = C2H5CHO + OH;

© 2000 by CRC Press LLC

% J<41> : NC3H7OOH = NC3H7O + OH ; % 1.90D-12*EXP(190/TEMP) : OH + NC4H9OOH =
% KRO2NO*0.71*0.958 : IC3H7O2 + NO = IC3H7O NC4H9O2 ;
+ NO2 ; % 1.67D-11 : OH + NC4H9OOH = C3H7CHO + OH;
% KRO2NO*0.71*0.042 : IC3H7O2 + NO = IC3H7NO3 % J<41> : NC4H9OOH = NC4H9O + OH ;
; % 1.90D-12*EXP(190/TEMP) : OH + HO1C4OOH =
% 1.50D-14*EXP(-200/TEMP)*O2 : IC3H7O = HO1C4O2 ;
CH3COCH3 + HO2 ; % 2.06D-11 : OH + HO1C4OOH = HOC3H6CHO +
% KRO2NO3 : IC3H7O2 + NO3 = IC3H7O + NO2 ; OH ;
% KRO2HO2*0.64 : IC3H7O2 + HO2 = IC3H7OOH ; % J<41> : HO1C4OOH = HO1C4O + OH ;
% 4.00D-14*0.6*RO2 : IC3H7O2 = IC3H7O ; % 1.02D-11 : OH + HOC4H8OH = HOC3H6CHO +
% 4.00D-14*0.2*RO2 : IC3H7O2 = CH3COCH3 ; HO2 ;
% 4.00D-14*0.2*RO2 : IC3H7O2 = IPROPOL ; % J<15> : HOC3H6CHO = HO1C3O2 + HO2 + CO ;
% 4.90D-13 : OH + IC3H7NO3 = CH3COCH3 + NO2 % 3.04D-11 : OH + HOC3H6CHO = HOC3H6CO3 ;
; % KNO3AL : NO3+HOC3H6CHO =
% J<54> : IC3H7NO3 = IC3H7O + NO2 ; HOC3H6CO3+HNO3 ;
% 1.90D-12*EXP(190/TEMP) : OH + IC3H7OOH = % KRO2NO*2.7 : HOC3H6CO3 + NO = HO1C3O2 +
IC3H7O2 ; NO2 ;
% 2.42D-11 : OH + IC3H7OOH = CH3COCH3 + OH % KRO2NO*0.71*0.981 : HO1C3O2 + NO = HO1C3O
; + NO2 ;
% J<41> : IC3H7OOH = IC3H7O + OH ; % KRO2NO*0.71*0.019 : HO1C3O2 + NO =
* BUTANE (N-BUTANE) ; HO1C3NO3 ;
% 1.51D-17*TEMP@2*EXP(190/TEMP)*0.147 : OH % 3.70D-14*EXP(-460/TEMP)*O2 : HO1C3O =
+ NC4H10 = NC4H9O2 ; HOC2H4CHO + HO2 ;
% 1.51D-17*TEMP@2*EXP(190/TEMP)*0.853 : OH % KFPAN % KBPAN : HOC3H6CO3 + NO2 = C4PAN1;
+ NC4H10 = SC4H9O2 ; % KRO2NO3 : HOC3H6CO3 + NO3 = HO1C3O2 +
% KRO2NO*0.60*0.967 : NC4H9O2 + NO = NC4H9O NO2 ;
+ NO2 ; % KAPHO2*0.71 : HOC3H6CO3+HO2 =
% KRO2NO*0.60*0.033 : NC4H9O2 + NO = HOC3H6CO3H ;
NC4H9NO3 ; % KAPHO2*0.29 : HOC3H6CO3+HO2 =
% 3.70D-14*EXP(-460/TEMP)*O2 : NC4H9O = HOC3H6CO2H + O3 ;
C3H7CHO + HO2 ; % 5.00D-12*0.7*RO2 : HOC3H6CO3 = HO1C3O2 ;
% 1.30D+11*EXP(-4127/TEMP) : NC4H9O = % 5.00D-12*0.3*RO2 : HOC3H6CO3 =
HO1C4O2 ; HOC3H6CO2H ;
% KRO2NO*0.60*0.987 : HO1C4O2 + NO = HO1C4O % KRO2NO3 : HO1C3O2 + NO3 = HO1C3O + NO2 ;
+ NO2 ; % KRO2HO2*0.64 : HO1C3O2 + HO2 = HO1C3OOH;
% KRO2NO*0.60*0.013 : HO1C4O2 + NO = % 6.00D-13*0.6*RO2 : HO1C3O2 = HO1C3O ;
HO1C4NO3 ; % 6.00D-13*0.2*RO2 : HO1C3O2 = HOC2H4CHO ;
% 8.4D+10*EXP(-3523/TEMP) : HO1C4O = % 6.00D-13*0.2*RO2 : HO1C3O2 = HOC3H6OH ;
HOC3H6CHO + HO2 ; % 9.60D-12 : OH + C4PAN1 = HOC3H6CO3 + NO2;
% KRO2NO3 : NC4H9O2 + NO3 = NC4H9O + NO2 ; % 4.23D-12 : OH + HO1C3NO3 = HOC2H4CHO +
% KRO2HO2*0.74 : NC4H9O2 + HO2 = NC4H9OOH; NO2 ;
% 1.30D-12*0.6*RO2 : NC4H9O2 = NC4H9O ; % J<53> : HO1C3NO3 = HO1C3O + NO2 ;
% 1.30D-12*0.2*RO2 : NC4H9O2 = C3H7CHO ; % 1.32D-11 : OH + HOC3H6CO3H = HOC3H6CO3 ;
% 1.30D-12*0.2*RO2 : NC4H9O2 = NBUTOL ; % J<41> : HOC3H6CO3H = HO1C3O2 + OH ;
% KRO2NO3 : HO1C4O2 + NO3 = HO1C4O + NO2 ; % 1.04D-11 : OH + HOC3H6CO2H = HO1C3O2 ;
% KRO2HO2*0.74 : HO1C4O2 + HO2 = HO1C4OOH % 1.90D-12*EXP(190/TEMP) : OH + HO1C3OOH =
; HO1C3O2 ;
% 1.30D-12*0.6*RO2 : HO1C4O2 = HO1C4O ; % 1.92D-11 : OH + HO1C3OOH = HOC2H4CHO +
% 1.30D-12*0.2*RO2 : HO1C4O2 = HOC3H6CHO ; OH ;
% 1.30D-12*0.2*RO2 : HO1C4O2 = HOC4H8OH ; % J<41> : HO1C3OOH = HO1C3O + OH ;
% 1.78D-12 : OH + NC4H9NO3 = C3H7CHO + NO2; % 9.10D-12 : OH + HOC3H6OH = HOC2H4CHO +
% J<53> : NC4H9NO3 = NC4H9O + NO2 ; HO2 ;
% 5.62D-12 : OH + HO1C4NO3 = HOC3H6CHO + % J<15> : HOC2H4CHO = HOCH2CH2O2+HO2+CO;
NO2 ; % 3.50D-11 : OH + HOC2H4CHO = HOC2H4CO3 ;
% J<53> : HO1C4NO3 = HO1C4O + NO2 ; % KNO3AL : NO3+HOC2H4CHO =
HOC2H4CO3+HNO3 ;

© 2000 by CRC Press LLC

% KRO2NO*2.7 : HOC2H4CO3+NO = HOCH2CH2O2 % J<41> : IC4H9OOH = IC4H9O + OH ;
+ NO2 ; % KRO2NO*0.60*0.975 : TC4H9O2 + NO = TC4H9O
% KFPAN % KBPAN : HOC2H4CO3 + NO2 = C3PAN1; + NO2 ;
% KRO2NO3 : HOC2H4CO3+NO3 = % KRO2NO*0.60*0.025 : TC4H9O2 + NO =
HOCH2CH2O2+NO2 ; TC4H9NO3 ;
% KAPHO2*0.71 : HOC2H4CO3+HO2 = % 2.70D+14*EXP(-8052/TEMP) : TC4H9O =
HOC2H4CO3H ; CH3COCH3 + CH3O2 ;
% KAPHO2*0.29 : HOC2H4CO3+HO2 = % KRO2NO3 : TC4H9O2 + NO3 = TC4H9O + NO2 ;
HOC2H4CO2H + O3 ; % KRO2HO2*0.74 : TC4H9O2 + HO2 = TC4H9OOH;
% 5.00D-12*0.7*RO2 : HOC2H4CO3 = % 6.70D-15*0.7*RO2 : TC4H9O2 = TC4H9O ;
HOCH2CH2O2 ; % 6.70D-15*0.3*RO2 : TC4H9O2 = TBUTOL ;
% 5.00D-12*0.3*RO2 : HOC2H4CO3 = % 1.67D-13 : OH + TC4H9NO3 =
HOC2H4CO2H ; CH3COCH3+HCHO+NO2 ;
% 1.42D-11 : OH + C3PAN1 = HOC2H4CO3 + NO2; % J<55> : TC4H9NO3 = TC4H9O + NO2 ;
% 1.78D-11 : OH + HOC2H4CO3H = HOC2H4CO3 ; % 2.20D-12*EXP(190/TEMP) : OH + TC4H9OOH =
% J<41> : HOC2H4CO3H = HOCH2CH2O2 + OH ; TC4H9O2 ;
% 1.50D-11 : OH + HOC2H4CO2H = HOCH2CH2O2; % J<41> : TC4H9OOH = TC4H9O + OH ;
% KRO2NO*0.60*0.91 : SC4H9O2 + NO = SC4H9O
+ NO2 ; 5.3 REACTION: Modeling Complex
% KRO2NO*0.60*0.09 : SC4H9O2 + NO = SC4H9NO3
;
Reaction Mechanisms
% 1.80D-14*EXP(-260/TEMP)*O2 : SC4H9O = MEK Dr. Edward S. Blurock, who was at the RISC-Linz at
+ HO2 ; Johannes Kepler University in Austria, has done
% 2.70D+14*EXP(-7398/TEMP) : SC4H9O = some valuable work with computers. His program
CH3CHO + C2H5O2 ; REACTION is an expert system for the generation,
% KRO2NO3 : SC4H9O2 + NO3 = SC4H9O + NO2 ; manipulation, and analysis of molecular and reac-
% KRO2HO2*0.74 : SC4H9O2 + HO2 = SC4H9OOH; tion information. The goal of the system is to assist
% 2.50D-13*0.6*RO2 : SC4H9O2 = SC4H9O ; in the modeling of complex chemical processes such
% 2.50D-13*0.2*RO2 : SC4H9O2 = MEK ; as combustion. REACTION enables both “numeric”
% 2.50D-13*0.2*RO2 : SC4H9O2 = BUT2OL ; and “symbolic” analysis of mechanisms. The major
% 9.20D-13 : OH + SC4H9NO3 = MEK + NO2 ; portion of the numeric analysis results from an
% J<54> : SC3H9NO3 = SC4H9O + NO2 ; interface to the CHEMKIN system where the reac-
% 1.90D-12*EXP(190/TEMP) : OH + SC4H9OOH = tion and molecule data is either generated automati-
SC4H9O2 ; cally or taken from a database. The symbolic meth-
% 3.21D-11 : OH + SC4H9OOH = MEK + OH ; ods involve graph theoretical and network analysis
% J<41> : SC4H9OOH = SC4H9O + OH ; techniques. The main use of this tool is to analyze
* 2-METHYL PROPANE (I-BUTANE) ; and compare the chemistry within mechanisms of
% 1.11D-17*TEMP@2*EXP(256/TEMP)*0.233 : OH molecules of different structure. Current studies
+ IC4H10 = IC4H9O2 ; involve comparing hydrocarbons with up to ten car-
% 1.11D-17*TEMP@2*EXP(256/TEMP)*0.767 : OH bons and the influence of the structure on
+ IC4H10 = TC4H9O2 ; autoignition (‘knocking phenomenon and octane
% KRO2NO*0.60*0.967 : IC4H9O2 + NO = IC4H9O number’).
+ NO2 ; In 1995 Dr. Blurock taught a course at Johannes
% KRO2NO*0.60*0.033 : IC4H9O2 + NO = IC4H9NO3; Kepler University at the Research Institute for Sym-
% 3.70D-14*EXP(-460/TEMP)*O2 : IC4H9O = bolic Computation. It was called Methods of Com-
IPRCHO + HO2 ; puter Aided Synthesis. It included Symbolic Meth-
% KRO2NO3 : IC4H9O2 + NO3 = IC4H9O + NO2 ; ods in Chemistry
% KRO2HO2*0.74 : IC4H9O2 + HO2 = IC4H9OOH ; CAOS
% 1.30D-12*0.6*RO2 : IC4H9O2 = IC4H9O ; REACCS
% 1.30D-12*0.2*RO2 : IC4H9O2 = IPRCHO ; LHASA
% 1.30D-12*0.2*RO2 : IC4H9O2 = IBUTOL ; SYNGEN
% 1.50D-12 : OH + IC4H9NO3 = IPRCHO + NO2 ; EROS/WODCA
% J<53> : IC3H7NO3 = IC4H9O + NO2 ; EROS
% 1.90D-12*EXP(190/TEMP) : OH + IC4H9OOH =
IC4H9O2 ; Daylight
% 1.68D-11 : OH + IC4H9OOH = IPRCHO + OH ; Daylight is a program providing computer algorithms
for chemical information processing. Their manual

© 2000 by CRC Press LLC

(Daylight Theory Manual, Daylight 4.51) consists of
the following sections: Smiles, Smarts, Chuckles,
Chortles and Charts, Thor, Merlin, and Reactions.
Smiles is a language that specifies molecular struc-
ture and is a chemical nomenclature system. Smarts
is a substructure searching and similarity tool. It
reveals the principles of substructure searching,
NP-complete problems and screening, structural
keys, fingerprinting and similarity metrics. Chuck-
les, Chortles and Charts are for mixtures. They are
languages representing combinatorial libraries which
are regular mixtures of large numbers of compounds.
Thor is a chemical information database system
consisting of fundamental chemical nomenclature,
chemical identifiers, etc. Merlin is a chemical infor-
mation database exploration system and a pool of
memory-resident information and Reactions has all
of the features for reaction processing.
5.4 Environmentally Friendly
Catalytic Reaction Technology
The establishment of a clean energy acquisition/
utilization system and environmentally friendly in-
dustrial system is necessary to lower global pollu-
tion and reach a higher level of human life. Here we
aim to conduct systematic and basic R & D concern-
ing catalytic reaction technology controlling the effi-
ciency of energy and material conversion processes
under friendly and environmental measures. Basic
technology development for the molecular design of
a catalyst using computer aided chemical design will
be combined with the development of new catalysts
on the strength of wide-choice/normal-temperature
and pressure reaction technologies.
The basic steps are:
1. Preparing model catalytic substances ideal in
making controllable various catalytic proper-
ties, including absorption, reaction, diffusion
and desorption will be studied using thin film
preparation technology, a process to synthesize
materials on a nanometer scale.
2. This will be done through studies on computer-
aided high functioning catalyst design, surface
analyzed instruments-based catalyst properties
evaluations, etc.
3. The acquisition and utilization of clean energy
leads to development that is aimed at a new
photo-catalyst that can quite efficiently decom-
pose water not only with ultraviolet but also
with rays of sunlight, thus generating hydro-
gen.
4. Search for and develop methods for facilitated
operation of elementary catalytic reaction pro-
cesses, including light excitation, electric charge
separation, oxidation, and reduction reactions
© 2000 by CRC Press LLC
that will be integrated and optimized for the
creation of a hybrid-type photo-catalyst.
In order to efficiently manufacture useful chemi-
cal materials such as liquid fuels that emit less CO2
using natural gas and other gaseous hydrocarbons
as raw materials, a new high performance catalyst
acting under mild reaction conditions is to be devel-
oped.
5.5 Enabling Science
Building the Shortest Synthesis Route
The goal is to make the target compound in the
fewest steps possible, thus avoiding wasteful yield
losses and minimizing synthesis time.
R&D laboratories synthesize many new compounds
every year, yet there seems to be no clear protocol for
designing acceptable and efficient routes to target
molecules. Indeed, there must be millions of ways to
do it. Some years ago, in an effort to use the power
of the computer to generate all the best and shortest
routes to any compound, a group at Brandeis began
to develop the SYNGEN program.
The task is huge, even for the computer. Imagine
a graph that traces the process of building up a
target molecule; we call it a synthesis tree. The
starting materials for the possible synthesis routes
are molecules we can easily obtain. As the routes
progress, new starting materials are added from
time to time until the target is obtained. Each line
represents a reaction step, or level, from one inter-
mediate to another, and each step decreases the
yield. Two of many possible routes are traced in
Figure 50.
To find these routes, we presume to start with the
target structure and a catalog of all possible starting
materials. Then, the computer generates all the points
(intermediates) and lines (reactions) of the graph. If
the computer has been programmed with an exten-
sive knowledge of chemical reactions, it could do
this by generating all possible reactions backward
one step from the target structure to the intermedi-
ate structures, then repeating this on each interme-
diate as many times as necessary to return to the
available starting materials.
At this stage, the problem gets too big. Suppose
there are 20 possible last reactions to the target
(level 1) and that each of these reactions also has 20
possible reactions back to level 2. Going back only
five levels will generate 205 (3.2 million) routes. How
do we select only one to try in the laboratory?
This generation of reactions and intermediates is
a brute-force approach; clearly, it must be focused
and simplified with some stringent logic. The central
criterion should be economy — that is, to make the
target in the fewest steps possible, thus avoiding
wasteful yield losses and minimizing synthesis time.
A Protocol for Synthesis Generation
The key to finding the shortest path seems to be to
join the fewest possible starting materials and those
that are closest to the target on the graph. The
starting material skeletons are usually smaller than
the target skeleton, so joining them to assemble the
target will always require reactions that construct
skeletal bonds. This underlying skeleton is revealed
by deleting all the functional group bonds on a
structure and leaving only the framework, usually
just C-C σ-bonds.
The central feature of any synthesis is the assem-
bly of the target skeleton from the skeletons of the
starting material. Looking for all the possible ways of
cutting the target skeleton into the skeletons of
available starting materials represents a major focus
for examining the synthesis tree.
We illustrate this task by looking at the steroid
skeleton of estrone and cutting it in two at different
points in the structure (Figure 52). Each cut creates
two intermediate skeletons, and each skeleton is
then cut in two again to obtain four skeletons. This
procedure creates a convergent synthesis, and con-
vergent routes are the most efficient (4). With four
starting skeletons, we will need to construct only 6
(or fewer) of the 21 target skeleton bonds. We could
keep dividing each skeleton until we ultimately ar-
rive at a set of one-carbon skeletons, but it is not
necessary to go that far, that is, to a “total synthe-
sis”.
With our four starting skeletons, each skeleton
represents a family of many compounds with differ-
ent functional groups placed on the same skeleton.
Suppose that we find a set in which all four skel-
etons are represented by real compounds in an
available library of starting materials; this set could
form the basis of a synthesis route with no more
than six construction steps to the steroid if the
functional groups are right. The skeletal bonds we
cut, which must be constructed in the synthesis
route, are called a bondset, and these bondsets are
a basis for generating the shortest syntheses. Each
skeletal bondset represents a whole family of poten-
tial syntheses.
The Ideal Synthesis
There are two kinds of reactions: construction reac-
tions, which build the target skeletal bonds (usually
C-C bonds), and refunctionalization (∆FG) reactions,
which alter the functional groups without changing
the skeleton. Any synthesis must do construction
reactions, because the starting materials are smaller
than the target, but must a synthesis route have any
∆FG reactions?
© 2000 by CRC Press LLC
Imagine a synthesis route with its set of starting
materials chosen so that their functional groups are
correct to initiate the first construction, leave a prod-
uct correctly functionalized for the second construc-
tion, and so on, continuing to construct skeletal
bonds until the target skeleton is built. This is the
ideal synthesis in that it must have the fewest steps
possible. It requires no FG reactions to get from one
construction product to the next.
In a survey of many syntheses, we found that
• the average nonaromatic starting material has a
skeleton of only three carbons
• one skeletal bond in three of the targets is
constructed
• there are twice as many FG reactions as con-
structions
Therefore, for an average synthesis, the number of
steps equals the number of target skeleton bonds.
We think we can do better. Building the shortest,
most economical syntheses requires first finding
those skeletal dissection bondsets with the fewest
bonds, to minimize construction reactions. It also
requires no more than four correctly functionalized
starting materials, to minimize FG reactions. Com-
mon targets have 20 or fewer carbons, which implies
an average starting material of 5 carbons. In our
experience with catalogs of starting materials, func-
tional diversity on the skeletons is ample up through
five carbons but decreases sharply with larger mol-
ecules.
Generating the Chemistry
Once we find the four commercially available start-
ing materials, we need to make a second pass, down
from the target through the ordered designated bonds
of the bondset. This process generates the actual
construction reactions we require, in reverse. So, we
need a method of generalizing structures and reac-
tions to quickly find the reactions appropriate to the
functional groups present.
Any carbon in a structure can have four general
kinds of bonds, as summarized in Figure 53: skel-
etal bonds to other carbons (R); Π-bonds to adjacent
carbons (Π); bonds to heteroatoms that are elec-
tronegative (Z); and bonds to heteroatoms that are
electropositive (H). The numbers of bonds are re-
ferred to as σ, z, and h, respectively. If we know the
values of and obtain h by subtraction from 4, only
two digits (z and Π) are needed to describe each
carbon. This description is summarized in Figure
53, where each carbon is marked in the example
structure with its z value. This digitalized general
description of the structure is easy for the computer.
In Figure 53, a reaction change at each carbon is
just a simple exchange of one bond type for another.
This change may be designated by the two letters for
the bond made and the bond lost. Thus, reaction HZ
indicates making a bond to hydrogen by loss of a
bond to heteroatom — that is, a reduction. The 16
possible combinations are shown and described with
general reaction families in Figure 53.
Using this system, we can generate all possible
generalized reactions, forward or backward, from
any structure. No routes are missed, and we can
find all the best routes back from the target to real
starting materials. Relatively few generalized reac-
tions are created, and we refine the abstract into
real chemistry only at the end. When starting mate-
rials are generated through successive applications
of these reaction families, we can look them up in
the catalog, where they are indexed by skeleton and
by generalized z lists of the functionality on each
skeletal carbon.
The SYNGEN Program
We have applied this approach in our SYNGEN pro-
gram, an earlier version of which found its way into
laboratories at Glaxo-Wellcome, Wyeth-Ayerst, and
SmithKline Beecham, but is currently being im-
proved significantly. The two phases of the genera-
tion are summarized in Figures 50 through 55 for
one particular result, the Wyeth estrone synthesis.
In the first phase (Figure 54, left side), we see the
skeletal dissection down to four starting skeletons,
all found in the catalog; in fact, the intermediate
skeleton B also was found, so further dissection to
E and F may not be needed.
In the second phase (Figure 54, right side), this
ordered bondset is followed, one bond at a time,
generating the construction reactions for an ideal
synthesis until all of the functional groups have
been generated. These actual starting materials are
found in the catalog, so a full synthesis route can be
written from them that goes up the right side in a
quick, constructions-only ideal synthesis of the tar-
get. This three-step synthesis of a target structure
can be converted to estrone in two more steps. The
prediction for an average synthesis would have been
much longer.
The catalog for the current version of SYNGEN has
about 6000 starting materials, but it is being ex-
panded from available chemicals directories. After
the target is drawn on the screen, the program
generates the best routes in <1 min. It displays the
bondsets, the starting materials used, and the ac-
tual routes, which are ordered by their calculated
overall cost.
The output screen from SYNGEN for the example
analyzed in Figures 50 through 55 is shown in
Figure 55. Two other sample outputs, from a differ-
ent bondset of the same target, are shown in Figures
56 and 57. The notations on the arrows use abbre-
© 2000 by CRC Press LLC
viations to describe the nature of the reaction; ex-
planations are available on a help screen. The routes
shown are still in a generalized form and require
further elaboration of chemical detail by the user.
Literature precedents, however, are being added to
the program, as described later.
The Future of SYNGEN
Three developments are currently under way on the
SYNGEN program. The first and perhaps most im-
portant improvement is creating a graphical output
presentation that is easy for a chemist to read and
navigate; this work is nearing completion. The sec-
ond deals with the problem of validating the gener-
ated reactions with real chemistry. The third
development, currently supported by the U.S. Envi-
ronmental Protection Agency (EPA), is to assign start-
ing material indexes of environmental hazard —
such as toxicity and carcinogenicity — so that the
routes generated may be flagged for environmental
concern when these starting materials are involved.
The second development deals with a major prob-
lem in previous versions of SYNGEN: The program
generated too many reactions that chemists saw as
clearly nonviable. Such results tended to destroy
their confidence in the program as a whole. We now
have a way to validate the generated reactions from
the literature, eliminating many of these nonviable
reactions.
The generalizing procedure for describing struc-
tures and reactions in SYNGEN also was applied to
create an index-and-retrieval system to find matches
for any input query reaction from a large database
of published reactions. This program, RECOGNOS,
has been applied to an archive of 400,000 reactions
originally published between 1975 and 1992 and
packaged as a single CD-ROM that allows instant
access to matching precedents in that archive. The
RECOGNOS program is available on CD-ROM from
InfoChem GmbH, Munich, Germany, combined with
their ChemReact database of 370,000 reactions and
renamed “ChemReact for Macintosh”.
This archive of literature reactions, now almost
double the original size, has been distilled to more
than 100,000 construction reactions. These reac-
tions, in turn, have been converted into a look-up
table for use by the SYNGEN program. With this
tool, SYNGEN can validate any reaction it generates
by searching for matches in the archive and deter-
mining the average yield. Unprecedented reactions
are therefore set aside, and a realistic yield can be
estimated for each reaction to be used in the overall
cost accounting.
We believe that SYNGEN has considerable poten-
tial for discovering new alternatives for creating or-
ganic chemicals in the most economical way pos-
sible. Even when the program does not yield a directly
usable synthesis, it often starts the chemist think-
ing about different approaches previously not con-
sidered. No chemist can think of all the possible
routes to the target, but SYNGEN does this quickly.
It also provides a powerful and focused output of the
possibilities.
5.6 Greenhouse Emissions
Two years ago, the nations of the world gathered in
Kyoto to hammer out a plan to curb those man-
made gases that are believed to be raising the tem-
perature of the planet.
When the Kyoto Protocol reached Washington,
however, it was pronounced too expensive, too un-
workable. It was dead on arrival.
But on the Texas–Louisiana border a DuPont
chemical plant is doing what Washington politicians
and bureaucrats have been unable and unwilling to
do — cutting greenhouse gases.
DuPont’s Orange plant sits on 400 acres amid
wetlands and waterfowl on the Texas-Louisiana bor-
der. It makes the chemicals used to make nylon. It
also has been emitting tons of nitrous oxide — a
greenhouse gas. “Our aim was to control those emis-
sions. The problem was there was no known tech-
nology to do it,” said the plant manager.
So DuPont invented its own. Today, the fumes
from the plant run through a building packed with
a catalytic filtering unit that breaks the nitrous
oxide into harmless nitrogen and oxygen.
Another closely watched corporate experiment was
launched last year by oil giant BP Amoco. It set a
goal of reducing 1990 greenhouse gas emission lev-
els by 10% by 2010-regardless of sales growth.
BP Amoco’s strategy involves an emissions trading
program under which each BP refinery and plant is
given a reduction target. Those plants that can do
better than their target can “sell” their excess reduc-
tion to other facilities.
There have been five “trades” among BP facilities
for 50,000 tons of carbon dioxide, with a ton of
carbon dioxide “valued” at $17 to $22.
It is widely agreed that some sort of country-to-
country emissions trading will have to be part of any
accord on climate change. So, BP Amoco’s experi-
ment is viewed by many as a valuable test case.
5.7 Software Simulations Lead to
Better Assembly Lines
Many years ago this author inspected the Budd auto
parts (frames) plant in Kitchener, Ontario. The frames
(for all American cars) moved in and out of a station
while hanging from a conveyor belt. An instrument
measured a point on this frame and compared it to
the blueprint in a computer. If there was no match
© 2000 by CRC Press LLC
that frame and a number of succeeding ones on the
belt were scrapped. It was regarded as a technologi-
cal marvel.
Engineers now boot up programs that let them
tinker, in three dimensions, with every permutation
and combination of a product’s design. Now engi-
neers aim their computers at designing and refining
the assembly lines on which those products are
made.
As an example, Dow Chemical Co., now uses com-
puters to simulate its methods for making plastics,
running what-if scenarios to fine-tune the tempera-
tures, pressures and rates at which it feeds in raw
materials. Dow can now switch pressures and rates
at which it feeds in raw materials. Dow can switch
production among 15 different grades of plastics in
minutes, with almost no wasted material. Before
computer modeling, the process took two hours and
yielded lots of useless by-products.
Production engineers in industries as diverse as
chemicals, automobiles, and aluminum smelting are
manipulating virtual pictures of their plants and
processes to see whether moving a clamp or adding
a new ingredient will make existing equipment more
productive, or will enable the same assembly line to
skip freely from product to product. Some are even
testing out a new virtual reality program that en-
ables engineers wearing special goggles to detect
problems by “walking through and around” a three-
dimensional model of their factory designs.
The entire relationship between product design
and production engineering is being turned on its
ear. No longer is it enough for designers to create
products that can be made and maintained effi-
ciently. Increasingly, management is asking them
whether the products can be manufactured with a
minimum of retooling or work stoppages — and if
not, whether it is worth giving up a particular prod-
uct feature in order to wring time and money from
the manufacturing routine.
The software is letting manufacturing influence
design, not just the other way around.
Real-life examples of modeling’s efficiency are
mounting. Ford says that one of its plants now uses
the same assembly line to make compact and mid-
sized models.
Computer simulations of the tread-etching pro-
cess has enabled tire makers like Goodyear Tire and
Rubber to switch production from one type of tire to
another in about an hour — a process which previ-
ously took an entire work shift. Simulations have
shown cookie companies like Nabisco how to use the
same packaging machines to make 5-pound bags for
price clubs, 1-pound bags for groceries and 6-cookie
packs for vending machines.
Various forces are driving the trend towards com-
puter modeling. For one thing, computer technology
has finally caught up with manufacturing pipe
dreams. Recently computers have been powerful
enough to quickly simulate what happens if you
change something in a chemical reactor.
Consumers have grown increasingly picky and
expect to be able to choose among myriad colors,
sizes, and shapes for almost any product. This means
that the manufacturers must mix and match parts
as the orders come in. And that, in turn, means
having tools that can respond to electronic com-
mands to switch paint wells, move clamps, or change
packaging and labels.
Already, the modeling procedure has led to devel-
opment of a conveyor belt that can sense what model
is in production and instruct robotic arms to pluck
the right hood or other part from a storage bin and
have it ready to meet the truck chassis as it moves
down the line.
When a conveyor system was too slow, a computer
helped us figure out why. “Freightliner” now uses
work-flow simulation to figure out how to keep trucks
moving evenly from worker to worker, when some
models need more handling than others — putting
12 bolts into a wheel well, for example, instead of
four.
When a worker lost time on a difficult truck, he
should make it up on an easy one. Do not wait until
the line is set up to find out you could have pre-
vented bottlenecks.
5.8 Cumulants
There is a relationship between the equation of state
and a set of irreducible integrals. These irreducible
integrals have a graphical representation in which
each point (or molecule) is connected by a bond (fij)
to at least two other points. By the introduction of
irreducible integrals a great economy is achieved in
accounting for all possible interactions. An impor-
tant property of cumulants which makes them use-
ful in the treatment of interacting systems is the
following: a cumulant can be explicitly represented
only by the lower (not higher) moments, and vice
versa.
5.9 Generating Functions
Consider a function F(x,t) which has a formal (it
need not converge) power series expansion in t:
F(x,t) = ∑∞n=0 fn(x)tn
The coefficient of t is, in general, a function of x. We
say that the expansion of F(x,t) has generated the set
fn (x) and that F(x,t) is a generating function for the
fn(x).
© 2000 by CRC Press LLC
Examples of generating functions are: Bessel func-
tions, Gegenbauer polynomials, Hemite polynomi-
als, Laguerre polynomials, Legendre functions of the
second kind, Legendre polynomials, semidiagonal
kernels, trigonometric functions, etc.
5.10 ORDKIN a Model of Order and
Kinetics for the Chemical
Potential of Cancer Cells
A method for deriving the chemical potential of par-
ticles adsorbed on a two dimensional surface has
previously been derived for lateral and next nearest
neighbor interactions of the particles. In order to do
so a parameter called K was used and K = ((exp((µ-
ε)/kT))(θ/1-θ))1/Z. It was found from a series of nor-
malizing, consistency, and equilibrium relations
shown in papers by Hijmans and DeBoer (1) and
used by Bumble and Honig (2) in a paper on the
adsorption of a gas on a solid. In the above, u is the
chemical potential and ε is the adsorption energy.
The numerical values of K were derived from com-
puters for various lattices with different values of
the interaction parameters for nearest neighbors (c)
and next nearest neighbors (c’), where c = exp(-w/
kT) and w is the interaction energy, and the “order”
of such lattices were plotted as the values of exp((µ-
ε)/kT) or p/p0=exp((µ-ε)/kT) versus θ or the degree of
occupancy of the lattice. A method for approximat-
ing the lattice was accomplished mathematically by
selecting basic figures such as the point 䡩, the bond
䡩—䡩, the triangle 䉭, or the rhombus □. Other graphs
were made which plotted the value of the pressure
ratio vs. time. A model for the time was also selected
from a previous publication (3) as L = (p/k)(1-exp(kt/
p)) where p denotes the organism, k the rate concen-
tration or exposure to chemical i, and L the toxico-
logical measure. Results show that the lower the
value of c (or the greater the antagonism or repul-
sion of cells or particles) the greater the chance of
cancer. Also, the higher the chemical potential, the
more the chance of cancer. Remedies are also indi-
cated by changing the pressure or the diffusion of
cells. The results were matched with experimental
evidence from humans living near several chemical
plants near the city of Pittsburgh (4).
The value of K given above has the chemical poten-
tial in it, and solving for this quantity we obtain KZ
(θ/1-θ) where Z is the coordination number of cells
in a tissue approximated as a lattice.
The lattice has been approximated as triangular
and was broken up into basic figures mentioned
above. The larger the basic figure the more compli-
cated the algebra. The bond yields K = (β-1 + 2θ)/
2θc, where β = [1+4cθ(1-θ)(c-1)] and the triangle as
basic figure yields a quartic equation K4 -a1 K3 +a2 K2
-a3 K + a4 = 0 where a1 = ((2-5θ)c + 2 - 3θ) /c(1-2 ),
a2 = (c+5)/c, a3 = ((3 - 5θ)c + 1-3θ) /c(1-2θ), and
a4=1/c2. Every point then derived for the triangle
basic figure subfigure is then found for the solution
of the above quartic equation for given values of c
and θ. The solution to the rhombus approximation is
yet more formidable and requires a special com-
puter program to approximate the answers.
One defines an order variable as order = Kzθ/(1-θ)
and using the model for time above, we obtain can-
cer = KZ(θ/1-θ)p/k(1-exp(-kt/p)). p has a different
value for each organism and for Man it is unity. k
has a value for each different environmental chemi-
cal. t is the time of exposure of a person to that
chemical in years. The procedure used then is to
select a basic figure, select a value for Z, select the
proper value for k, and then use a sequence of
values for θ and t. Such work was done on Quattro
Pro on a PC. The value chosen for k was .05, the
range of values for θ was from .0125 to .975, and the
range of values for t was from 1 to 75 years.
The model was called ORDKIN (abreviated from
order and kinetics). The data was taken by the
graduate students at the University of Pittsburgh’s
Department of Public Health of some 50,000 resi-
dents in three zip number areas within dispersion
distance of Neville Island which contains about a
dozen industrial plants. In the graphs below b stands
for bond, t stands for triangle and r stands for
rhombus as the basic figure. Occupancy or theta (θ)
or lattice occupation stands for the fraction of sites
covered. Cancer and order are the expressions given
above, u is the chemical potential, k in u/kT is the
Boltzmann constant, and T is the temperature
(Kelvin).
In Figure 90, the top two curves are for c = 0.36 (tp
most) and 0.9, whereas the bottom curves are all for
c = 2 or 3 and they all denote curves for cancer as
in the equations and parameters listed above. Now
it was of interest that for the values of c below unity,
which denotes repulsion between particles, the
chemical potential was higher than for those cases
where c was above unity which indicates attraction
between particles. It is also of interest that when the
chemical potential is higher the system tends to be
more unstable than when the chemical potential is
lower. Indeed, when the chemical potential is at a
minimum the system tends to be at equilibrium.
These plots are versus occupation of the sites on a
lattice which means θ = 0 when the occupation is
zero and unity when it is full.
In order to test what is responsible for the separa-
tion of the chemical potential curves as shown in the
graphs above, the order parameter was examined
and two plots were made, one where the c values
were >1 and one where the c values were <1, corre-
sponding to regions of attraction and repulsion, re-
spectively, and shown as Figures 91 and 92, respec-
© 2000 by CRC Press LLC
tively. Both graphs for c < 1 are shown as ln(order)
plotted vs. age.
We have neglected some terms because actually
(uG+e)/kT=P/P* and P*=(2pmkT)3/2kTjG[exp(-e/kT)/
h3 where jG is the internal partition function for the
gas and ε is the adsorption energy with the other
symbols having their usual meaning. These factors
will be thought of as scaling factors in this work
where individuals are construed to have approxi-
mately the same values and introduce some error.
Figures 93 and 94, respectively, compare the data
for all observed cancer cases and breast cancer
cases from the study conducted at and near Pitts-
burgh.
The graphs show that the worst fit for the data for
all cases of cancer is the triangle basic figure with
c = 0.1. The computer failed to obtain solutions for
young victims in this case. The regression of all
cancers and breast cancers show the linear nature
of the regression in these cases. The zig–zag nature
of the data from the field is clearly shown in these
cases and it is possible that the linear curves are
best in these cases.
The following table collates the value of c and their
exponents.
c w/kT
> 1 3 1.10
> 1 2.77 1.02
>1 2 0.70
<1 .9 -0.105
<1 .36 -1.02
<1 .1 -2.30
from which we see that the best results are obtained
with a small repulsive force between cells (c = 0.9).
Another very important way to lower the chemical
potential of cancer cells is to impose critical condi-
tions on the system containing the cancer cells.
Graphically this means that the curve for the order
of the cancer cells be flat or parallel to the abcissa
which can be the age of the people or the values of
θ. This means the order would be constant in value
for varying values of the age or θ. This curve or
plateau must be both low and broad to be effective.
It can be achieved by varying the temperature, the
pressure, the concentration, or the constitution of
the medium containing the cancer cells. This is
similar to techniques in chemistry or chemical engi-
neering where a foreign substance can bring about
critical solution temperatures or cause the volatility
to increase.
Results of the Study
1. If the malignant cells of the cancer can be re-
lated to the chemical potential, this would lead
to many therapeutic methods to “cure” the can-
 cer or prevent it from spreading. This is so
because many physical processes can occur
that are related to the chemical potential. It will
be shown that the cancer cells have a higher
chemical potential than the normal cells and it
then becomes a task to lower the chemical po-
tential. Some examples of ways to do this in-
clude changing concentrations. This can reduce
the chemical potential according to the formula
∆u = kTlnC/C0. Here the ratio of concentrations
can change logarithmically. Another way the
chemical potential can be lowered is by a change
in pressure: ∆u = kTln(P/P0). Yet another way
for the reduction of the chemical potential is
through electrochemical means so that
ui=ui0+ziFφ in the proper environment. In this
equation ui0 is the standard chemical potential
of the species, zi is the charge on the species, F
is the Faraday and φ is the potential.
2. In order to inhibit the growth of malignant cell
and tissue, this study suggests that the carci-
nogenic tissue be washed or flushed with a
liquid that can insert or replace molecules or
ions with ones that do not interact with their
neighbors as strongly as the original ones.
3. Also, the surrogate molecules or ions should
have a radius more conducive to the blocking of
deleterious interactions by changing the coordi-
nation number of the destructive carcinogenic
molecules.
4. The signal communication or transduction be-
tween cells must be ameliorated for those that
are beneficial and destroyed for those that are
harmful. This can be expedited by studying the
pathways, using the methods shown here, that
are conducive to good health.
5. Critical regions must be avoided at all costs.
The transition between states of matter result-
ing in the liquefaction of cells is a fatal phenom-
enon.
6. The results show that the effects noted in the
literature as to the application of heat or the
withdrawal of heat to tumors are in accord with
the model given here and it would be well for
medical and surgical specialists to study the
ramifications of heat transfer to tumor size and
how to lessen the pain involved in the process.
7. Photochemistry, photodynamics, and laser
therapy are elucidated by the model and clinical
observations are again predicted by this model.
8. A matrix technique is used to divide the molecu-
lar aspects from those of the interaction aspects
and in so doing surrogate candidates can be
found for these individual aspects to reduce or
destroy carcinogenic tissue.
9. Biology does not render itself into simple order.
It is governed by a systematic disorder and
© 2000 by CRC Press LLC
requires the mathematics of disorder or chaos
to reflect reality. This model is strictly non-
linear.
10. Electomagnetic fields can be set up from cells or
molecules aligned in the +-+-+- manner and can
act to send signals or create a morphogenetic
field.
11. The UNIFAC model for solutions has surface
areas and volumes for chemical groups and
interaction energies for many chemical groups
that can be optimized to provide the best can-
didate molecular species to prevent or abate
cancer.
12. Three computer programs exist to (a) provide
kinetics for reaction involving chemical species
involved in cancer (THERMOCHEMKIN), (b) pro-
vide thermodynamic functions for complex spe-
cies involved in cancer (THERM) and (c) provide
and optimize properties for chemical species
involved in cancer (SYNPROPS).
13. The pathways between the subfigures of the
basic figure become more numerous as the basic
figure becomes larger and next-nearest neigh-
bors appear and are taken into account. The
calculated probabilities of these paths are close
in value, yield logical values and provide signal
possibilities that can be important to growth.
14. The refraction exaltation (difference between the
experimental refraction and the calculated re-
fraction) is due to a conjugated system of double
bonds. Frequently such molecules are highly
polyaromatic hydrocarbons, etc., and are carci-
nogenic.
15. Signals are transmitted by “antenna” as charges
oscillate back and forth. According to field theory,
these charges produce an electromagnetic wave.
The wave reaches a receiving antenna and sets
the charges in that antenna into oscillation,
with results that are detected in the receiver. A
paper presented before showed some ways that
carcinogenic materials are deposited on a sub-
strate of cells and are prepared for chemical
reactions that form the basis for signal trans-
mittal.
16. When the force between molecules is of a con-
siderable magnitude and repulsive, then the
probability for an occupied rhombus can be-
come not only more sigmoidal, but also un-
stable, whether the cause is mathematical or
real.
17. The expression for θ as a function of p/po,
resembles a Fermi-Dirac distribution function
and a plot shows a very sharp step function at
body temperature from θ equals 0 to unity. This
leads to a model from solid state physics where
there are bands of energy within living crea-
tures such as the valence band and the conduc-
 tion band. When cancer cells can reach the
conduction band, then metastasis is prevalent.
18. The model studied here concentrates on the
order-disorder of the substrate. The molecules
that then come in contact with a relatively sta-
tionary substrate can undergo chemical reac-
tions with those in the substrate. It is the chemi-
cal reactions of such reactions, where the
substrate is in the critical region, that can be
one of the important causes of cancer.
19. Figure 74 elucidates the above. It utilizes the
Michaelis-Menten equation as a model. This
defines the quantitative relationship between
the enzyme reaction rate and the substrate con-
centration [S] if bothVm and Km are known.
Substitution of θ for [S] then shows that when
the attractive forces in the substrate are large
the reaction rate is much above that appropri-
ate for the Langmuir isotherm, whereas when
the forces are very repulsive, the reaction rate
can fall much below.
20. In the chaotic region, the dynamics are very
sensitive to initial conditions. The transition
from the ordered to the chaotic regime consti-
tutes a phase transition, which occurs as a
variety of parameters are changed. The transi-
tion region, on the edge between order and
chaos, is the complex region. Complex systems
exhibit spontaneous order. Thus it is possible
that adaptive evolution achieves the kind of
complex systems which are able to adapt.
5.11 What Chemical Engineers Can
Learn From Mother Nature
Economic pressures on the chemical process indus-
tries (CPI), particularly on R&D, are quite severe.
The high cost of innovation must be reduced if the
prosperity of the CPI is to endure. The primary
function of the engineer is neither analysis nor de-
sign. It is creating new processes, products, con-
cepts, and organizations. Conducting such creative
activities can be accomplished by mimicking the
evolutionary processes of nature.
Increasing the economy of evolutionary activity
includes recent results of nonlinear dynamics and
complexity theory, and provides some of the power-
ful innate organizing forces in the physical world of
as yet unrealized potential. Evolution can be defined
as an increase in functional efficiency manifesting
itself as the spontaneous generation of useful infor-
mation.
The nature of variation, selection, and heredity
differ greatly among various evolutionary processes
and these differences will have a major impact. If we
were to benefit from biological examples, we must be
© 2000 by CRC Press LLC
able to identify generic characteristics of evolution
dynamics and to evolve specific strategies effective
for our purposes. Driving energies will vary. For
many engineers the immediate source is money, but
one cannot underestimate nonfinancial motivation.
In diversity, there are no well-defined species, only
groups of closely related individuals. Also, diversity
is a source of robustness for all organisms and
ecosystems. This has relevance for all human orga-
nizations: hiring in one’s own image is a dangerous
procedure leading to inflexibility and limited capac-
ity for dealing with changing circumstances.
Evolutionary processes do not depend entirely upon
random events, but they are favored by the self-
organizing nature of these systems.
In a research organization there is an optimum
degree of interaction between individuals: too much
isolation or too much hierarchical control from the
top leads to stagnation, and too much interaction to
chaos. Most creativity consists of rearranging known
components in new ways. This is a generalization of
the unit operations concept.
5.12 Design Synthesis Using
Adaptive Search Techniques &
Multi-Criteria Decision Analysis
Safety and real-time requirements of computer-based
life-critical applications dramatically increase the
complexity of the issues that need to be addressed
during the design process. Typically quantitative
analysis of such requirements are undertaken in an
ad-hoc manner after the artifact has been produced.
A more systematic approach which uses Adaptive
Search and Multi-Criteria Decision Analysis tech-
niques to provide analytical support during the de-
sign-decision process is described in this paper from
the University of York.
5.13 The Path Probability Method
The Path Integral from Quantum Mechanics and
Theoretical Physics is used to plan the best chemical
groups for a given constrained stoichiometry. This
then is utilized to ascertain whether there is a reac-
tion scheme or mechanism to produce a molecular
species that can appear in the program Enviro-
chemkin and to find whether the reactions are fea-
sible under a set of conditions (P, T. t. mode and
mechanism) used in Envirochemkin. The program
THERM is used to obtain thermodynamic functions
for the molecule if they are not known or contained
in the of the assigned chemical groups. The program
used to find the set of groups is SYNPROPS and
Envirochemkin file. It is to be noticed that the vari-
able emphasis in this undertaking are chemical
groups (of which there are 380 choices as in the
program THERM) rather than chemical species as
originally used in SYNPROPS in which there were 32
in the Linear Model and 33 in the Hierarchical Model,
many of which were duplicated in both models.
Each of the groups in THERM has thermodynamic
functions associated with it: namely, heat of forma-
tion at 298 K, entropy at 298 K, and heat capacities
at constant pressure at 300, 400, 500, 600, 800,
1000, and 1500 K. Thus, the free energy can be
found at any temperature (F = H-TS) and thus the
free energy difference between the species and its
precursor or descendent or that for any reaction
between precursor and descendent can be obtained
if the free energies of the precursor or descendent
species are known as well. The data for 380 groups
include that for free radicals, etc., so activated com-
plexes can be included in the scheme and thus a
tree can be drawn for the progress of the reactions
from the initial reaction to the final reaction with the
probability of occupancy of the different levels of the
tree as well as the various participants in the progress
of the reaction. This probability can be assumed to
be proportional to the equilibrium values of the
species which is proportional to the value of the
quantities exp(- F/RT) which is obtained from the
change in free energy of the reactions involved. The
process can thus be used to arrive at the mechanism
of the overall reaction and each of its constituent
parts.
Another way to obtain mechanisms of reaction is
from Rate Distortion Theory. Here a tree can be
constructed to decode messages that are used in
communication theory but will now be used to as-
certain and depict needed mechanisms.
The path probability method of irreversible statis-
tical mechanics has been applied to pollution pre-
vention and waste minimization. The most probable
path in time taken by a system is derived by maxi-
mizing the path probability after adding a space axis
to equilibrium statistical mechanics. The path prob-
ability formulation is based on the Markoffian char-
acter of the process and this depends on the choice
of variables used in describing the system. In a
cooperative process all cooperating degrees of free-
dom must be taken into account. The cluster-varia-
tion method in which a finite size of a cluster is used
to represent the whole system violates the Markoffian
requirement of the process. The formulas for the
most probable path can be interpreted based on a
superposition approximation. This is a shortcut to
the expressions for the most probable path without
going through the path probability formulation and
its maximization each time, and will greatly increase
the maneuverability of the technique.
© 2000 by CRC Press LLC
It is interesting to note that Feynman’s space-time
approach can quickly be used to write down results
rigorously derived from quantum field theory (or
second-quantized Dirac theory). Matrix elements
derived using quantum field theory can be obtained
much more quickly using the space-time approach
of Feynman. Feynman’s approach (based on the
particle wave theory of Dirac) is simple and intuitive.
It visualizes the formula correctly, which we derive
rigorously from field theory. The Feynman graphs
and rules have had a profound effect on a number
of areas of physics including quantum electrody-
namics, high energy (elementary particle) physics,
nuclear many-body problems, superconductivity,
hard-sphere Bose gases, polaron problems, etc. Al-
though we do not use the technique here, there is a
relation between the path probability method and
Feynman’s approach.
Consider a system of N atoms, each of which has
two energy levels, g and e (for ground and excited).
During a short time interval, t, states of atoms may
change by exchanging energies with a heat bath of
temperature, T. When we look at the system, its
configuration may change in time as shown on the
left where a system of two-level atoms changes in
time. (e and g stand for the excited and the ground
states, respectively). At the right is a configuration of
an assembly of one-dimensional Ising model. x and
o are a plus and minus spin, respectively.
t- t t+ t k-1 k k+1
atom 1→e→g→g→e→g→e→ system 1 -x–o–o–x–o–x
atom 2→g→g→e→e→e→g→ system 2 -o–o–x–x–x–o-
____________ ____________
____________ ____________
atom N→g→g→e→g→e→e→ system N -o–x–o–o–x–x-
The correspondence between these cases suggests
that the irreversible problem on the left can be
treated in analogy with the equilibrium problem
when the time axis is treated as the fourth space
axis. Thus the probability function P to be written
for the case on the left is expected to be constructed
in analogy with the state probability function P or
the free energy F for the case on the right.
Let us consider a tree, upside down with the root
at the top. As we proceed from top to bottom we have
choices as to which compounds form from the origi-
nal compound.
C 00
a^c
C 11 C 12
^ ^
bd fg
C2 1 C 2 2 C 2 3 C 2 4
 Thus the first compound, which might be PAN or
some other pollutant we wish to eliminate, is made
to react with additives so that it forms the first tier
of compounds, indicated by the subscript 1, and the
two compounds in the first tier react with additives
to form the four compounds in the second tier. The
question is which is the most probable path that will
be followed, a→d, a→e, c→f, etc?
To decide this, one may utilize the path probability
method of Kikuchi together with some of my own
publications on order-disorder theory. The probabil-
ity that a given path is followed is proportional to the
reaction rates that take place. In the reaction A + B
= C + D, this can be approximated by knowing the
structure of the molecules A and B and the activated
complex A—B. A table is included in the recent book
Computer Generated Physical Properties to approxi-
mate the range of such rate constants. Also needed
is the energy of the reaction that can be obtained
from the program THERM. This is usually printed
out in a table and may be the enthalpy or the free
energy of reaction under reaction conditions. The
equation for the probability of reaction comes from
the order-disorder theory, which is an equilibrium
method because the kinetic theory reduces to equi-
librium expressions as stated in Kikuchi’s paper.
Finally, we need the concentration (and conditions)
of the pollutant and this is available either from
Envirochemkin calculations or actual measurements
in plant processes.
Thus, we have
P4 = (conc. of pollutant)(path probability)
(rate constant)(energy factor) =
Pollution Prevention Path Probability
The concentration of pollutant is derived from the
Envirochemkin program or measurements, the rate
constant comes from the structure of the reactants
and activated complex and Table or the value of Af/
Ar from the output of the Thermrxn program, the
(free) energy factor also comes from the subroutine
Thermrxn of the THERM program and the path
probability comes from the formalism developed here.
Initially, the path probability can be set equal to
unity and the three factors can be checked, the rate
constant from the estimated rate table, the ratio of
Arrhenius factors from THERM and the equilibrium
constant from THERM. If the magnitude of these
three constants are positive and the magnitude suf-
ficiently large, then the proposed reaction, concen-
trations, conditions, and/or additional reactants can
be tried in Envirochemkin for a final computation in
a proper molecular environment. Thus one can con-
trol the environment and have clean production.
© 2000 by CRC Press LLC
Order-disorder theory, also called cooperative phe-
nomena or chaos, has been used to find critical
conditions for systems with interactions between
particles. This can be very helpful to find
discontinuities in chemical potentials and phase
equilibrium which can affect the reaction kinetics
and equilibrium of systems that we are studying
here.
5.14 The Method of Steepest
Descents
The “method of steepest descents” can be used for
the approximate evaluation of integrals in the com-
plex plane. It is appropriate for the treatment of
many integrals encountered in statistical mechan-
ics.
Consider a function exp[Nf(z)] where f(z) is an ana-
lytic function of its argument and so the exponential
is also an analytic function of z. We divide the f(z)
into its real and imaginary parts:
f = u + iv
Because of the analytic character of f(z), its parts
u and v must both satisfy Laplace’s equation:
∂2u/∂x2 + ∂2v /∂y2 = 0
∂2u/∂2x + ∂2v/∂2y = 0
These equations show that u and v cannot, in the
region where f is analytic, attain an absolute maxi-
mum or minimum value. Starting at any point in
this region, one can follow a line of steepest increase
of u indefinitely, either to • or to the boundary of the
region; following a line of steepest descent one can
go downward, either to • or to the boundary of the
region. The surfaces representing the functions u(z)
and v(z) have no peaks or bottoms, but they do have
horizontal tangent planes. At any point where df/dz
= 0, the rate of change of f, or of its parts u and v,
in any direction is zero:
∂u/∂x =∂u/∂y = 0 ; ∂u/∂x =∂u/∂y = 0
At such points both the u and v surfaces have
horizontal tangent planes.
First consider the u-surface near such a point. It
must have maximum curvature downward along
one line through this point, and equal maximum
curvature upward along a perpendicular line. The
point itself is called a “col” or “saddle point.” The
directions of maximum curvature are lines of steep-
est descent and of steepest ascent, respectively.
 The line of steepest ascent passes from the col
along the crest of two “ridges” on the u-surface and
the lines of steepest descent plunge into valleys
separated (locally, at least) by these ridges. A u-
surface may contain many valleys separated by many
ridges, each of which can be crossed at a saddle
point.
Since u and v are conjugate functions, the lines of
steepest ascent or descent for u are contours of
const v and conversely; otherwise the behavior of the
v surface near a col is like that of a u-surface.
At a saddle point of f(z), exp (Nf(z)) is also station-
ary. Along the line of steepest descent, exp(Nf(z)) has
maximum magnitude at the col, and its phase factor
is stationary. Consider a line integral in the complex
plane,
I = ∫BA exp(N(z)) dz
between points A and B in valleys separated by a
ridge, passing through a simply-connected region in
which f(z) and exp(Nf(z)) are analytic. The value of
the integral will be independent of the particular
path between A and B. If one chooses a path through
a col in the ridge between A and B, the integrand will
have its maximum magnitude near the col, and the
phase will be stationary, so that contributions to the
integral from parts of the path near the col will not
tend to cancel out. The major contribution to the
integral along such a path will come from the neigh-
borhood of the col — a region that is smaller the
larger N is. To get an approximation to the value of
the integral that will be asymptotically exact as
N→∞, one needs only consider the contribution from
the neighborhood of the col. One finds in this way
I + | 2Π / Nf “(z0) | exp(iα)exp (Nf(z0))
where z0 is the position of the col and α is the angle
between the positive direction on the x-axis and the
direction of the line of steepest descent at z0 .
5.15 Risk Reduction Engineering
Laboratory/ Pollution Prevention
Branch Research (RREL/PPBR)
The PPBR is responsible for projects that develop
and demonstrate cleaner production technologies,
cleaner products, and innovative approaches to re-
ducing the generation of pollutants in all media. The
PPBR is organized into two sections, Products and
Assessments, and Process Engineering, and it is
conducting projects in five major areas.
1. Cleaner production technologies
2. Tools to support pollution prevention
© 2000 by CRC Press LLC
3. Cleaner products program
4. Pollution prevention assessments
5. Cooperative pollution prevention projects with
other federal agencies
A summary of each project area is provided below
based on descriptions published in the November,
1994 edition of PPBR’s publication. An overview of
the five major areas and their programs is presented
below.
Summary of PPBR Program Areas
1. Cleaner Production Technologies
a. Waste Reduction Innovative Technology
Evaluation (WRITE)
b. Support for RCRA Hard to Treat Wastes
c. Support for the 33/50 Program
d. Support for the Source Reduction Review
Program (SRRP)
e. Clean Technology Design and Development
Projects
2. Tools to Support Pollution Prevention
a. Life Cycle Assessment Development and
Demonstrations
(1) Life Cycle Assessment Demonstra-
tion: Carpeting
(2) Development of Pollution Prevention
Factors
(3) Streamlined LCA Model Development
and Demonstration
b. Measurement Methodology Tools Develop-
ment
(1) A Measurement Methodology for Pol-
lution Prevention Progress
(2) Measurement Tools to Support Pol-
lution Prevention
3. Cleaner Products Research Program
a. Evaluating Potential for Safe Substitutes
b. Clean Products/Source Reduction Case Stud-
ies
c. Product and process design for Life-Cycle
Risk Reduction and Environmental Impact Miti-
gation
4. Pollution Prevention Assessments and Support
Program
a. Small Generator Waste Minimization Assess-
ments
b. Industrial Assessment Centers Program
c. Pollution Prevention for Public Agencies
d. NATO/CCMS Project: Pollution Prevention
Strategies for Sustainable Development
e. Clean Technology Guides
5. Cooperative Pollution Prevention Projects with
Other Federal Agencies
 a. Waste Reduction Evaluations at Federal Sites
(WREAFS) Program
b. Strategic Environmental Research and Devel-
opment Program (SERDP)
5.16 The VHDL Process
Although hardware is concurrent, VHDL allows you
to implement algorithms with a series of sequential
statements that occur inside what is called a PRO-
CESS. Understanding the operation of PROCESSes
is critical to understanding how VHDL synthesizes
synchronous designs. A PROCESS is a CONCUR-
RENT statement used in an architecture which re-
quires a WAIT statement or SENSITIVITY list.
A SENSITIVITY list is a list of variables which if a
change in them occur, will trigger the associated
PROCESS. Inside of the PROCESS statements ex-
ecute sequentially. That is to say they execute in
order, like a standard programming language does.
An example of a SENSITIVITY LIST PROCESS is
given.
Any change in the my_set or my_reset will trigger
the PROCESS to run. Let us reexamine our AND
GATE example, except this one will use a process
with the two inputs Ain and Bin being on a sensitiv-
ity list.
The operation is equivalent logically, but it wouldn’t
make much sense to do this since it adds a measure
of complexity which is unneeded. The process sits
there until either Ain or Bin change, then does
whatever is inside of its begin and end process
© 2000 by CRC Press LLC
statements. The fact that all we have is the original
AND expression does not discount the fact that we
could put many other statements there.
Using a WAIT UNTIL statement is another way of
implementing a PROCESS which is commonly used
to simulate an edge triggered device. For SIGNALS
which are changed in the PROCESS the changes are
SCHEDULED. That is to say, the changes that occur
within the PROCESS are reflected on the output of
the associated SIGNAL on the next occurrence of the
condition specified in a WAIT UNTIL statement. In
the next piece of code we add an input clock line and
use a WAIT UNTIL statement in the process as shown:
The code does not update COut until a rising edge
is seen on the CLK line. This is essentially the
following circuit
CLK——————————————————|——|—
Aln————|———\ | \/ |———COut
Bln——— |———/ |—————|
The statements inside the PROCESS occur on the
NEXT clock edge. This can be thought of as a
LATCHED vs. COMBINATORIAL process. Combina-
torial functions like ANS/OR/XOR occur essentially
immediately. While logic is LATCHED, it does not
become apparent until the CLOCK latches it out.
And so in the statement A<=B which occurs outside
a process, A essentially changes exactly as B does.
However, when placed inside a process with a WAIT
UNTIL statement, A will not reflect the change in B
until the next WAIT UNTIL event (CLOCK) occurs.